German Yearbook of International Law / Jahrbuch für Internationales Recht: Vol. 34 (1991) [1 ed.] 9783428473823, 9783428073825

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GERMAN YEARBOOK OF INTERNATIONAL Volume 34 · 1991

LAW

The Editors and the Institut

für Internationales

Recht

do not make themselves in any way responsible for the views expressed by contributors

This Yearbook may be cited: G Y I L 34 (1991)

Communications should be addressed to: The Editors German Yearbook of International Law Institut für Internationales Recht an der Universität Kiel Olshausenstrasse 40 D-2300 Kiel 1

GERMAN YEARBOOK OF INTERNATIONAL LAW J A H R B U C H FÜR I N T E R N A T I O N A L E S

RECHT

Volume 34 · 1991

DUNCKER & HUMBLOT / BERLIN

Founders: Rudolf Laun · Hermann von Mangoldt Editors: Jost Delbrück and Rüdiger Wolfrum Assistant Editors: Betsy Baker · Ute Jebautzke · Denise Smith-Bizzarro Institut für Internationales Recht an der Universität Kiel A d v i s o r y B o a r d of the I n s t i t u t e : Daniel Bardonnet TUniversité de Paris I I Rudolf Bernhardt Max-Planck-Institut für ausländisches öffentliches Recht und Völkerrecht, Heidelberg Lucius Caflisch Institut Universitaire de Hautes Etudes Internationales, Genève Antonius Eitel Bonn

John Norton Moore University of Virginia, Charlottesville Fred L. Morrison University of Minnesota, Minneapolis Albrecht Randelzhofer Freie Universität Berlin Krzysztof Skubiszewski Warsaw

Luigi Ferrari Bravo Università di Roma

Christian Tomuschat Universität Bonn

Louis Henkin Columbia University, New York

Grigorij Tunkin Moscow State University

Tommy T. B. Koh Singapore

Sir Arthur Watts London

A l l rights reserved © 1992 Duncker & Humblot G m b H , Berlin 41 Printed by Berliner Buchdruckerei Union G m b H , Berlin 61 ISBN 3-428-07382-7

Contents

Articles Ludwig Krämer: The Implementation of Environmental Laws by the European Economic Communities

9

Michael Bothe: The Protection of the Environment in Times of Armed Conflict . .

54

Jacek Machowski : Poland's Policies Toward Antarctica

63

Hugo Tiberg: Sweden's Baltic Boundaries

92

Victor-Yves Ghébali: La sécurité internationale à l'ère de l'après-guerre froide: Le rôle des Nations Unies Hartmut

Hillgenberg:

108

Der KSZE-Mechanismus zur friedlichen Regelung von

Streitfällen {with English summary)

122

Roy S. Lee: A Case for Facilitation in the Settlement of Disputes

138

Ernst-Ulrich Petersmann: Violation-Complaints and Non-Violation Complaints in Public International Trade Law

175

Sergei A. Voitovich: The Law-Implementing Functions of International Economic Organizations

230

Konstantin Günther: Zulässigkeit und Grenzen der Intervention bei Streitigkeiten vor dem I G H . Rechtsfragen zu Artikel 62 und 63 des IGH-Statuts ( with English summary)

254

Henry G. Schermers: The Chairman of an International Organ Christoph

Schreuer: Secondment of United Nations Officials from

296 National

Civil Service

307

Georg Brunner: Minderheiten in der Sowjetunion (with English summary)

354

Edzard Schmidt-]ortzig: The Constitution of Namibia: A n Example of a State Emerging under Close Supervision and World Scrutiny

413

6

Contents Note

Angela Eggers: Recent Developments in Human Rights. The International Convention on the Protection of the Rights of A l l Migrant Workers and Members of Their Families

429

Reports Stefan Schuppert: Die Rechtsprechung des Internationalen Gerichtshofes in den Jahren 1989 und 1990 (with English summary)

438

Ursula Ε. Heinz/Arnim Findeklee: Die Tätigkeit der International Law Commission in den Jahren 1987 bis 1990

460

Dorte Par do Lopez: Die Tätigkeit des Europarates in den Jahren 1989 und 1990 . .

486

Book Reviews F reestone/Jlstr a (eds.): The N o r t h Sea: Perspectives on Regional Environmental Cooperation: Special Issue of the International Journal of Estuarine and Coastal Law (Fitzmaurice) 557 Gehring/Jachtenfuchs: Haftung und Umwelt: Interessenkonflikte im internationalen Weltraum-, Atom- und Seerecht (Härders) 566 Merten (Hrsg.): Föderalismus und Europäische Gemeinschaften unter besonderer Berücksichtigung von Umwelt und Gesundheit, Kultur und Bildung (Dicke) . . Roelandt: La condition juridique des Pipelines dans le D r o i t de la Mer (Wiese) . . . . Seeherg-Elverfeldt:

Die Streitbeilegung im Tiefseebergbaurecht (Wolfrum)

Interamerican Commission on Human Rights /Inter amer ican Court of Human Rights (eds.): Interamerican Yearbook on Human Rights/Anuario interamericano de derechos humanos 1987 (Dicke)

566 569 572

573

Kimminich: Religionsfreiheit als Menschenrecht. Untersuchung zum gegenwärtigen Stand des Völkerrechts (Dicke) Lerner: Group Rights and Discrimination in International Law (Wolfrum) McGoldrick: The Human Rights Committee: Its Role in the Development of the International Covenant on Civil and Political Rights (de Ζ ay as)

574 575

576

Nowak/ Steurer /Tretter (Hrsg.): Fortschritt im Bewußtsein der Grund- und Menschenrechte / Progress in the Spirit of Human Rights — Festschrift für Felix Ermacora (de Zayas) 580

Contents Weiler: Internationale Ethik. Eine Einführung. Zweiter Band: Fragen der internationalen sittlichen Ordnung. Friede in Freiheit und Gerechtigkeit (Dicke)

584

Ausländerrecht (Delbrück)

586

Hailbronner:

Ausländerrecht — Ein Handbuch

Frowein/Stein (Hrsg.): Die Rechtsstellung von Ausländern nach staatlichem Recht und Völkerrecht — The Legal Position of Aliens in National and International Law — Le regime juridique des étrangers en droit national et international Hofmann: Die (Hailbronner)

Ausreisefreiheit

nach

Völkerrecht

und

staatlichem

Recht 589

Lauterpacht /Greenwood /Weller/Bethlehem ments (Wolfrum)

(eds.): The Kuwait Crisis: Basic Docu590

Khan: The Iran-United States Claims Tribunal: Controversies, Cases, and Contribution (Seidl-Hohenveldern) Ginsburgs/Kudriavtsev

(eds.): The Nuremberg Trial and International Law (Partsch)

de Zayas/Rabus: The Wehrmacht War Crimes Bureau, 1939-1945 (Kimminich) Frowein/Stein

...

594 598

(eds.): Rechtliche Aspekte einer Beteiligung der Bundesrepublik

Deutschland an Friedenstruppen der Vereinten Nationen (Dicke) Butler (ed.): Perestroika and International Law (Fitzmaurice) Fisher: Prior Consent to International Direct Satellite Broadcasting (Hintz) Kunig/Lau/Meng

591

(eds.): International Economic Law — Basic Documents (Bizzarro)

600 602 610 611

Reid: The Impact of Community Law on the Irish Constitution (Philipp)

612

Folsom/Minan (eds.): Law in the People's Republic of China: Commentary, Readings and Materials (Fan)

613

Briefer

Notices

Netherlands Yearbook of International Law 1989 (Schmitz)

616

Bertrand: The T h i r d Generation W o r l d Organization (Juretzka)

617

Bull/Kingsbury/Roberts

(eds.): H u g o Grotius and International Relations (Niewerth)

Butler (ed.): The Non-Use of Force in International Law (Schillhorn)

617 618

8

Contents

Dichtel (Hrsg.): Schritte zum Europäischen Binnenmarkt (Bartram)

619

Fiedler! Kess (Hrsg.): Verfassungsrecht und Völkerrecht — Gedächtnisschrift für Wilhelm Karl Geck (Wismeth) 619 Ramcharan/ Francis (eds.): Caribbean Perspectives on International Law and Organizations (Rothert)

619

Riedel: Der Einsatz deutscher Streitkräfte im Ausland — Verfassungs- und völkerrechtliche Schranken (Kröger)

620

Ridruejo: Curso de Derecho Internacional Publico y Organizaciones Internacionales (Bracker)

620

Vir ally: Le D r o i t International en Devenir. Essais Ecrits au Fil des Ans (Behrens)

621

Wandt: Die Geschäftsführung ohne Auftrag im Internationalen Privatrecht (Bracker)

622

Books Received

624

List of Contributors

628

The Implementation of Environmental Laws by the European Economic Communities By Ludwig Krämer

I. Introduction Alexandre Kiss , probably the most renowned European environmental lawyer, concludes his book Droit international de l'environnement with the following statement on the implementation of European Economic Communities (EEC) environmental law: I t is encouraging to be able to end a book on international environmental law w i t h a description of a legislative and judicial system which presents so many guarantees of efficiency. Certainly, one might object that Community law forms already no longer a part of international law, since the EEC has set up a quasi-federal system. This objection is not without value; however, is the future of international law not progressing towards federal forms? Environmental law which reveals so many strong and weak points of legal systems, gives, also in this regard, substance for reflection. 1

Along the same line of thinking, the International Environmental Law Conference (from 12 to 16 August 1990 in The Hague) which was organised by the International Union for Conservation of Nature and Natural Resources ( I U C N ) discussed, among other subjects, whether EEC implementation and enforcement procedures could form some sort of a model for the regional or global implementation and enforcement of international conventions. The importance of EEC implementation rules is also underlined by a number of statements and resolutions which EEC institutions have adopted during the last few years. Thus, the Council Resolution adopting the Community's Fourth Action Programme on the Environment stressed that the Council attaches particular importance to the implementation of Community legislation, and called on the Commission to provide regular reports on the subject so that the Council and the European Parliament could assess the effectiveness of the Community's environmental policy. 2 The European Parliament in turn has adopted a series of Resolutions concerning the implementation of the Community rules on the 1

Alexandre Kiss , D r o i t international de l'environnement, Paris 1989, 336. European Council, Resolution of 19 October 1987, Official Journal of the European Communities (OJEC) 1987, N o C 328/1. 2

10

Ludwig Krämer

environment. 3 I n Dublin on 25-26 June 1990 the European Council stressed the importance of full implementation and enforcement of Community legislation and instructed the Commission to conduct regular reviews and publish detailed reports on its findings. 4 Since environmental problems are of growing concern all over the world and in view of the upcoming United Nations environmental conference in 1992 in Brazil, it seems useful to describe in some detail EEC implementation rules for environmental standards and the way they function in practice. II. The Framework Set by EEC Law The EEC, a "Regional Economic Integration Organisation" that undertakes to integrate twelve sovereign nation-states into one European Community, has over approximately twenty years of environmental policy adopted some 200 binding pieces of law, in the form of EEC directives, regulations or decisions. These rules of law are adopted by the Council, which acts upon proposals from the Commission and with the participation of the European Parliament. Legal review is exercised by the Court of Justice. "Community environmental legislation will only be effective if it is fully implemented and enforced by Member States". 5 A t present, the overall situation within the EEC is characterised by the late transposai of directives into national law, rather frequent legal deficiencies in national legislative implementation and, in particular, deficiencies in the practical enforcement of rules on implementation of Community law which were fixed at the national level. EEC law is not present in national law; local, regional and national administrations are often not familiar with it. Its relationship with national rules — direct effect doctrine, superiority of Community law, significance of the texts of this or that Community rule — are ignored. In conflicts with economic developments, environmental aspects almost always are given second place. Thus it looks as if all combined rules of Community and national environmental law, adopted over twenty years, have not managed significantly or generally to reverse the trend of the slow but continued degradation of the environment within the EEC. The key Articles as regards the implementation of EEC environmental measures are Articles 130 r (4) and 155 of the EEC Treaty. Article 130 r (4) states with regard to environmental measures: 3 Resolution of 10 March 1988 (air and water), OJEC 1988, N o C 94/151 and 155; Resolution of 12 October 1988 (nature), OJEC 1988, N o C 290/54; Resolution of 13 October 1988 (birds), OJEC 1988, N o C 290/137; Resolution of 16 February 1990 (general), O J E C 1990, N o C 68/183. 4 European Council, Bulletin of the European Communities 6/1990, 18-21. 5 European Council (note 4), 19.

The Implementation

of Environmental

Laws by the EEC

11

W i t h o u t prejudice to certain measures of a Community nature, the Member States shall finance and implement the other measures.

Article 155 states: In order to ensure the proper functioning and development of the common market, the Commission shall: — ensure that the provisions of this Treaty and the measures taken by the institutions pursuant thereto are applied; . . .

I t is generally accepted that Article 155 is not linked to "common market" requirements, but institutes the Commission as guardian of the Treaty in general. Accordingly, the Commission's work not only prepares environmental legislation or conceives and pursues an EEC environmental policy, but it also is obliged under the Treaty to ensure that all obligations imposed on Member States by Community environmental legislation are honoured. Thus, Member States not only have to adopt the measures necessary to incorporate Community environmental legislation into their national laws, but also have to apply them fully and correctly over all their territory. The Court of Justice has ruled that the preservation of the environment is an essential objective in the interest of the Community as a whole. 6 The unique feature of environmental legislation, which distinguishes it from Community legislation in other areas, is that it depends almost exclusively on the goodwill of the national administrations to implement it. More specifically, Community legislation on economic affairs, agriculture, competition, transport, or services directly affects the vital interests of key sectors of economic activity in each Member State. Therefore, special interest groups are quick to mobilise all the legal, political or media resources at their disposal to enforce the Community legislation protecting them or combating practices detrimental to them. In contrast to that, the environment belongs to no one in particular ("the Community as a whole") and therefore has no official defender. Virtually nobody can combine the knowhow, means, resources and qualifications needed to protect a biotope, clean up a river or save a forest. Apart from sporadic action by environmental groups, most of whom are poorly equipped, it is left to the authorities to control activities which could potentially damage the environment, and to accept or reject infrastructure projects with a definite environmental impact or to keep track of the movement of dangerous substances or waste. In practice, they are responsible for enforcing the regulations implementing Community legislation and for bringing proceedings against polluters. Administrations alone can collect, organize and, where appropriate, publish data on emissions into the soil, air or water, environmental pollution, environmental hazards, the diversity of flora and fauna or the state of the environment in general. 6

Court of Justice, Case 240/83, A D B H U , (1985) European Court Reports (ECR) 531; Case 302/86, Commission v. Denmark, (1988) E C R 4607.

12

Ludwig Krämer

The fact that protection of the environment, an objective in the general interest of the Community, is left almost entirely to the authorities singles out environmental legislation and, hence, the arrangements for monitoring the implementation of this law, as being different from all other areas of Community legislation. This difference goes a long way towards explaining the growing interest in monitoring in recent years and the importance attached to it by the Member States, the Community institutions, the media and public opinion — an importance which, in all probability, will grow stronger still in the future. Environmental directives have been adopted at the Community level since 1975. Control of implementation during the first years following that date was focused on the question of whether any national legislation was adopted in order to transpose the directive into national law. The main push to increase implementation control was given by the European Parliament. In 1983 some barrels containing highly toxic waste from the Seveso (Italy)accident in 1978 suddenly disappeared while being transported. The incident caused enormous public concern in almost all EEC Member States. The European Parliament, for the first time in its history, instituted an enquiry Committee which was to examine the implementation of EEC environmental legislation and in particular Council Directive 78/319 on toxic and dangerous waste.7 The final report of the Committee and Parliament's resolution on the question were highly critical of the Commission and the Member States and called for effective measures in order to improve the implementation of environmental legislation by Member States and control by the Commission. 8 This led the Commission to increase its activities in monitoring the implementation of EEC environmental law by Member States. I I I . Monitoring Procedures The Commission has a variety of instruments for enforcing Community environmental law, with the infringement procedure provided for in Article 169 of the Treaty as the last resort when all else fails. The first point to remember is that wide consultations are held with the Member States before the Council adopts a Directive or Regulation. As soon as the Commission starts work on a subject, it discusses its plans with the national experts appointed by the Member States and the economic or political circles concerned. Since environmental legislation is adopted by the Council — and in most cases by unanimous vote — it is fair to assume that all the Member States are fully aware of the commitments they are making. 7 8

Directive 78/319 on toxic and dangerous waste, OJEC 1978, N o 84/43. European Parliament Resolution of 11 A p r i l 1984, OJEC 1984, N o C 127/67.

The Implementation

of Environmental

Laws by the EEC

13

When a Directive is adopted, the Commission sends a formal letter to each Member State, referring to the Directive, the deadlines laid down in it and the need to adapt national law to the requirements of Community law. Some three months before the deadline for incorporating the Directive into national law, the Commission again sends a formal letter to those Member States which have not notified the Commission of such incorporation. In this letter the Commission once again explains the legal position and points out the Member States' obligations to comply with the provisions of the Directive. Such letters are sent in connection with each Directive adopted. The convening of meetings of experts or representatives of the Member States before or after a Directive has come into force is less systematic. While meetings take place regularly in connection with such fields as chemicals, atmospheric pollution and flora and fauna, and the opportunity at least exists of discussing jointly within the Waste Management Committee 9 the implementation of the Directives on waste in the Member States, meetings related to water and noise pollution tend to be few and far between. Alongside meetings with representatives of the Member States, the Commission carries out its own investigations into the execution and application of Community environmental regulations and assesses its findings. In this context there are numerous formal or informal, written or personal contacts between Commission departments and the national authorities responsible for putting the Directives into effect. Finally, mention should be made of Community Decisions, which provide for an exchange of specific environmental information. 1 0 There are likewise regular meetings in connection with these Decisions, at which the application of environmental legislation is discussed. Occasionally the Commission conducts informal appraisals of draft legislation submitted by the Member States before definitive adoption. Although the Commission can give no definite opinion on implementing measures at the draft stage, it attempts to help the Member States at their request. Finally, in 1990 the Commission started to organize bilateral "package" meetings with the national authorities to discuss the facts of the case or legal aspects of alleged infringements, complaints or measures to implement the Directives on the environment with all the central, regional or local authorities concerned. Meetings of this type have been held in Spain (twice), Portugal, Greece (twice), Germany, Belgium, Ireland and the Netherlands.

9

The Committee was set up in 1976 and has the mandate to discuss all matters of waste management in the EEC, OJEC 1976, N o L 115/73. 10 Decision 82/459 (air pollution), OJEC 1982, N o L 210/1; Decision 77/585 (water), OJEC 1987, N o L 240/1.

14

Ludwig Krämer

Consequently, the formal procedure laid down in Article 169 of the EEC Treaty is the Commissions's last resort for exercising control and enforcing Community law on the environment. Article 169 reads as follows: If the Commission considers that a Member State has failed to fulfil an obligation under this Treaty, it shall deliver a reasoned opinion on the matter after giving the State concerned the opportunity to submit its observations. If the State concerned does not comply w i t h the opinion within the period laid down by the Commission, the latter may bring the matter before the Court of Justice.

Thus, there is a three-stage procedure under that Article: (i)

formal notice to the Member State concerned

(ii)

reasoned opinion

(iii) referral to the Court of Justice. The following figures may illustrate the evolution of these procedures during the last years. 11

Year

Letter of formal notice

Reasoned opinion

Referral to the Court of Justice

1981 1982 1983 1984 1985 1986 1987 1988 1989 1990

27 16 35 65 69 134 159 93 101 168

3 7 1 33 26 11 24 71 26 39

12 -

2 23 10 3 11 21 14

The letter of formal notice from the Commission does not follow a specific pattern, though it has by now acquired a more or less standard content. This is, in part, due to the view held by the Court of Justice that the Commission's letter has already defined the object at issue in any subsequent court proceedings. The Commission is thus unable to include any additional points of complaint in its reasoned opinion or when bringing the matter before the Court of Justice, even if the Commission has itself discovered the infringement by the Member State. 11

Commission, 7th annual report to the European Parliament on the control of implementation of Community law — 1989, OJEC 1990, N o C 232/35; the figures for 1990 have not yet been published.

The Implementation

of Environmental

Laws by the EEC

15

The rules allow the Member State in question two months in which to reply to the Commission's letter of formal notice. However, since — on average — the Commission discusses and decides on an Article 169 procedure only once every six months, the time available to Member States to reply is almost always much longer. The Commission's reasoned opinion closes the administrative part of the procedure. The facts of the case have been clarified and the Member State informed of the Commission's definitive stand on the legal issue involved. The opinion gives a detailed account of how Community law has been infringed. Should proceedings subsequently be initiated with the Court of Justice, the facts no longer need to be clarified; the dispute can be confined to legal issues. A judgment by the Court of Justice pursuant to Article 169 establishes an infringement of Community law provisions, unless the Commission's complaint is dismissed. What conclusions the Member State draws from the judgment and how it complies with the Court's ruling is left to that Member State. A t all events, noncompliance with the Court's rulings on environmental issues is not frequent. A l l three stages of Article 169 require an explicit, formal decision by the Commission itself, based on a proposal from the departments concerned. In 1990, the Commission delegated to the Member responsible for the environment the power to decide whether to initiate the procedure whenever no details are received on the national measures taken to implement a particular Directive. In view of the rather formalised procedures, it always takes a considerable amount of time from the start of the Article 169 procedure to the eventual Court judgment. For instance, it took 52 months from the date that notice was served to obtain a ruling from the Court in Cases 339/87 (Commission ν Netherlands) and 42/89 (Commission ν France) and 47 months in Case 182/89 (Commission ν Belgium). As the number of cases before the Court and dossiers handled by the Commission increases, the procedure may take longer still. One way to speed up the procedure is to start "urgency procedures", in other words to shorten the gap between the formal decision and its implementation and the time which the Member States are allowed to send in their replies. However, for lack of staff and objective criteria for selecting the right dossiers, such urgency procedures are rather exceptional. Thus, in 1990, the Commission exercised this right only once, against Belgium's provisions explicitly authorizing an exemption from Directive 80/51 on aircraft noise. The Commission is not empowered to take interim measures against individual Member States. I t is only when a case has been brought before the Court that it can request the Court to impose a provisional injunction if it fears that irreversible damage could be caused pending the final ruling. In the only case decided so far, Case 57/89 against Germany, the Commission asked for a temporary injunction to stop work which threatened the habitat of wild birds. The Court rejected this

16

Ludwig Krämer

request on the grounds that the Commission had failed to establish the urgency of the need to stop the work. 1 2

IV. Aspects Monitored Three aspects of implementation of Community environmental law are monitored. The Commission checks whether: (1) the Member States have adopted and submitted their national measures to implement the Directives; (2) these national measures fully and correctly discharge the obligations imposed by Community law; (3) these national implementing provisions are applied correctly in practice. The following figures show the developments since 1981, though the repartition is not always altogether clear: 13

Letters of Formal Notice Sent to Member States

Year

Non-communication of national implementation measures

1981 1982 1983 1984 1985 1986 1987 1988 1989 1990

27 15 23 48 58 84 68 36 46 131

12

Incomplete or incorrect transposai of EEC law into national law

_ 1 10 15 10 32 30 24 17 24

Bad implementation of transposed legislation

_ -

2 2 1 9 58 30 37 62

Court of Justice, Case 57/89 (1989), E C R 2849. Commission (note 6); the figures for 1990 have not yet been published. Discrepancies from the figures on page 14 come from the unpublished Commission document. 13

The Implementation

of Environmental

1. Failure to Give Notification

Laws by the EEC

17

of Implementing Measures

Community Directives contain a provision to the effect that Member States must adapt their national legislation to the provisions of the Directive within a specific time period and give notification of these implementing measures to the Commission. Even without such a provision, this obligation for the Member States arises in any case from Article 5 of the Treaty, to which we have already referred. When this specified period has expired without the Commission having received notification of the required implementing measures, the Commission decides without further ado to initiate a procedure under Article 169. This is justified by the fact that the Member States have twice been formally reminded of their obligations during the period of grace, that these obligations are clearly and unequivocally set out in the Directive, and that past experience has shown that incorporation into national law of environmental Directives within the fixed time-period is the exception rather than the rule. As a general rule, these non-notification procedures reflect a certain slowness on the part of the Member States to implement new Directives rather than any deliberate attempt to evade their obligations to the Community. The Member States often step into line shortly after the Directive enters into force. As a result, the Court rarely has to give a ruling. Nonetheless, there are still too many cases of failure to inform the Commission of the measures taken, giving rise to proceedings and costs which could be avoided. The letters of formal notice sent to the Member States regarding failure to notify are of a purely formal nature. If notification is subsequently received from a Member State, the Article 169 procedure has to be shelved. If necessary, a new procedure on the grounds of incomplete implementation may be initiated, a most intricate process. If a Member State notifies the Commission that, in its view, its national law already meets the requirements of the Directive, this is regarded as a formal notification and the Commission examines the national legislation to see whether the Member State's claim is justified. If a Member State takes the view that an internal administrative measure is sufficient for an incorporation into national law, the Commission again examines the content of that measure to determine whether formal incorporation is necessary. In all, an infringement procedure on the grounds of failure to give notification of national implementing measures should be seen primarily as a means of pressuring the Member States into incorporating Community environmental provisions in their national law within the specified period of time. In practice it sometimes takes a very long time to implement Directives on the environment. For example, Directive 85/337 on the assessment of the effects of

2 GYIL 34

18

Ludwig Krämer

certain public and private projects on the environment 14 entered into force in July 1988. But Greece, Portugal and Germany took until 1990 to incorporate it into their national legislation and even then, from a legal point of view, failed to fully comply with the Directive. Directives 89/369 and 89/429 on air pollution from municipal-waste incineration plants 15 entered into force on 1 December 1990. A t the end of 1990 notifications were received from Germany, Portugal and the Netherlands. Finally, it must be added that the Commission is not informed of the national measures taken to implement international conventions on the environment, even in those cases where the Community is a contracting party in its own right. Consequently, the Commission does not monitor implementation of such conventions within the Community. However, if the Community adopts specific legal provisions governing fields covered by an international convention, the Member States are, of course, required to inform the Commission of the national measures adopted to implement these Community instruments. Consequently, these are monitored as provided by Article 155 of the Treaty. a) Nature Conservation The general concern about the progressive degradation of nature, despite all Community and national measures taken, manifests itself in the great number of complaints in this sector, the great number of Article 169 procedures started, and an important number of Court decisions: on 31 December 1990 the Court had given 11 rulings, and 6 further cases were pending. As regards Directive 83/129 as amended, 16 it prohibits the importation of the skins of certain seal pups and products derived therefrom into Member States. The Commission monitors the conformity of national rules with this Directive. As regards practical application, the Directive does not require any information to be passed on to the Commission. As a result, the latter relies entirely on import/ export figures for monitoring, which are published after months or even years have elapsed. Moreover their non-specific nature normally makes it impossible to effectively monitor whether or not the import ban has really been complied with. Regulation N o 82/3626 on trade of endangered species of wild flora and fauna applies directly in the Member States. Its application in practice is monitored by the relevant management committee which meets regularly and which co-ordi14 Directive 85/337 on the Assessment of the Effects of Certain Public and Private Projects on the Environment, OJEC 1985, N o L 175/40. 15 Directive 89/369 (new installations), OJEC 1989, N o L 163/32; Directive 80/429 (existing installations), O J E C 1989, N o L 203/50. 16 Directive 83/129 concerning the Importation into Member States of Skins of Certain Seal Pups, OJEC 1983, N o L 91/30.

The Implementation

of Environmental

Laws by the EEC

19

nates the activities of the Member States. The Article 169 procedure is initiated only in exceptional cases and also because it is difficult to produce evidence of illegal action. The two main directives on nature conservation are Directive 79/409 on the conservation of wild birds 1 7 and Directive 85/337 on the assessment of the effects of certain public and private projects on the environment, 18 although the latter covers other sectors as well as nature conservation. W i t h reference to Directive 79/409, all twelve Member States provide legislation on the protection of birds. In a number of Member States, however, this legislation is hunting legislation rather than legislation on the conservation of birds. By 30 December 1990 only Luxembourg had not adopted legislative measures to incorporate Directive 85/337 into national law. Greece, Portugal and Germany introduced legislation in 1990, i. e. some two years after the entry into force of the directive (3 July 1988). The delay means that projects falling within the scope of the Directive, which were given the go-ahead after 3 July 1988 but before the legislation entered into force, often slip through the net of environmental impact assessment, depending on the attitude of the authorities. Portugal, the United Kingdom and Germany even expressly included a clause to this effect in their national legislation, although this would appear to be incompatible with the directive. b) Water The Community approach to combating water pollution is not uniform and relies on quality objectives, reduction of emissions and prior authorization. In addition, the vague wording of the Community rules allows the water management authorities scope for interpretation which — given the absence of common sampling methods, the different frequency of sampling, etc. — gives rise to disparities in results from one Member State to another. In the water sector, as in other sectors of environmental law, environmental protection is largely a matter for the administrative authorities. A number of Member States have therefore judged it sufficient to issue administrative circulars in order to incorporate the Community Directives into national law. A judgment of the Court of Justice 19 in a case concerning Directive 76/160 on the quality of bathing water, did little to change the situation and proceedings are still in progress against several Member States to require them to adopt binding provisions to incorporate the Directives on water into domestic law. These observations apply 17 18 19

Directive 79/409 on the Conservation of W i l d Birds, OJEC 1979, N o L 103/1. Directive 85/337 (note 14). Court of Justice, Case 96/81, Commission v. Netherlands (1982), ECR 1791.

20

Ludwig Krämer

above all to the Directives based on the "quality objectives" approach which were adopted in the Seventies. c) A i r Pollution Leaving aside the "products" directives relating to air pollution, i. e. Directive 75/716 on the sulphur content of gasoil 20 and Directive 85/210 on lead in petrol 2 1 the Community Directives designed to combat air pollution concern two main areas: — authorisation of new industrial plants subject to the use of the best available technology not entailing excessive costs; — programmes to be drawn up and implemented in order to gradually bring existing plants into line with the latest technology. The same approach is adopted for areas which are sensitive in terms of limit values for sulphur dioxide, suspended particulates, lead or nitrogen dioxide. As regards the protection of the ozone layer, Regulation N o 3222/88 is directly applicable. Delayed transposai is mainly a problem when it relates to more recently adopted directives. For instance, as regards Directive 88/609 on large combustion plants 22 the Member States should have adopted the necessary measures to adapt their legislation and draw up emission reduction programmes by 1 July 1990. The programmes were due to be forwarded to the Commission by the end of 1990. However, by that date only Germany and the United Kingdom had forwarded programmes and only a handful of Member States had notified the Commission of legislative measures to incorporate the Directive into national law. Directive 89/369 and 89/429 on municipal waste incineration plants 23 came into force in December 1990. O n the date of entry into force only Germany had notified the Commission of national implementing measures, although by the end of the year the Netherlands and Portugal had forwarded legislative measures in respect of the Directives. d) Chemicals A number of Member States are having problems keeping up with the Directives adapting Directive 67/548/EEC 24 to technical progress, and are therefore late in 20

Directive 75/716 on the Sulphur Content of Certain Liquid Fuels, OJEC 1975, N o L 397/22. 21 Directive 85/210 on the Lead Content of Petrol, OJEC 1985, N o L 96/25. 22

Directive 88/609 on A i r Pollution from Large Combustion Plants. Directives 89/369 and 89/429 (note 15). 24 Directive 67/548 on the Classification, Packaging and Labelling of Dangerous Substances, OJEC 1967, N o 196/1. By the end of 1990 this Directive was amended 16 times. 23

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21

transposing some of the Directives on dangerous substances; it is true however that such Directives occur very frequently, almost one per year. As regards Directive 88/610/EEC on the prevention of industrial accidents, which was adopted in the wake of the Basie accident in 1986, 25 the Commission has instituted proceedings against a number of Member States for failure to notify it of implementing measures by the date of the Directive's entry into force (1 June 1990). Finally, mention should be made of the legislative provisions of Directive 87/18/ EEC on good laboratory practice, which have not yet been incorporated into national law by all Member States. 26 e) Noise The Community directives on noise pollution are aimed at all noise emissions from products. They lay down emission levels which may not be exceeded by products placed on the market. Given that these maximum levels apply to new products, there is little provision for monitoring the day-to-day application of the Community rules. Delays in incorporating directives into national law have given rise to proceedings in a number of cases, although there are no specific points which need to be raised. f) Waste In 1989 the Commission published a report on the application by the Member States of four directives on waste, namely Directives 75/442/EEC (waste), 75/439/ EEC (waste oils), 76/403/EEC (PCBs and PCTs) and 76/319/EEC (toxic and dangerous waste). 27 This report was based on the limited information available at the time, as most of the Member States had not forwarded the three-yearly reports required by the Directives. A l l the Member States have incorporated the Directives on waste into their national legislation. However, Directive 85/339/EEC on containers of liquids for human consumption 2 8 allowed Member States to choose between laying down rules and concluding voluntary agreements, and did not therefore necessarily have to be transposed into national law. 25

Directive 88/160 amending Directive 82/501 on Major Accidents Hazards of Certain Industrial Activities, OJEC 1988, N o L 336/14. 26 Directive 87/18 on Good Laboratory Practice, OJEC 1988, N o L 15/29. 27 Commission, Document SEC (89) 1455 final of 27 September 1989. 28 Directive 85/339 on Containers of Liquids for H u m a n Consumption, OJEC 1985, N o L 176/18.

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Nevertheless, several Member States have failed to lay down rules or draw up voluntary agreements on the basis of this Directive. The same applies to the programmes which were intended to provide a framework for the adoption of these legislative instruments or rules, or for voluntary agreements.

2. Incomplete National Measures The second stage of monitoring by the Commission is to check whether the national rules fully and correctly implement Community law on the environment. I t is not simply a question of making sure that each Article of the Directive is echoed by the national legislation submitted. In practice, the entire national legislative, administrative and regulatory framework, w i t h all its peculiarities and unique operating procedures, has to be examined to make sure that all the objectives of the Community regulations are attained. This examination is sometimes further complicated by the interdependence of national and regional legislation, which led in one specific case to more than fifty pieces of legislation for transposing one Directive into national (and regional) law. In another case, legislation was transmitted to the Commission which was adopted at the end of the 19th century and subsequently changed at regular intervals. Special problems arise if the Community Directive is incorporated not by central government, but, for example, by regional authorities, Länder , autonomous provinces, etc. Each Member State is free to devolve powers in its country as it sees fit, for example to delegate the responsibility for adopting the measures to implement the Directive to regional or local authorities. 29 The Commission must make sure that the Directive is applied throughout each Member State's entire territory. Generally, it can be said that in those Member States where regional entities are responsible for adopting legislative or regulatory environmental measures — i. e. in Belgium, Germany, Italy, Spain, United Kingdom — a marked delay in the transposai of Directives throughout the territory of the Member State can be observed. The Commission has repeatedly taken action in cases where a Community Directive on the environment has been incorporated into national legislation by an administrative circular. Circulars are widely used in environmental law and practice. The form of these circulars varies considerably from one Member State to another. So, too, do their scope, legal status and, hence, compatibility with Community law. Following the line consistently taken by the Court of Justice, the Commission is of the opinion that Directives conferring rights or imposing 29

I n Belgium, Germany, Italy, Spain and partly in the United Kingdom and the Netherlands there exists the competence to adopt rules which transpose EEC directives, w i t h entities other than w i t h the central State.

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obligations on private individuals cannot be properly implemented by internal circulars which can be amended at any such time as the national administration sees fit. The same applies to unpublished circulars or to published circulars which can subsequently be amended by unpublished circulars. In all such cases, the public has no way of knowing the exact law which is applicable. As the Court of Justice stated, in such cases legal certainty commands that rules with a mandatory character are issued. I l y a lieu de rappeler que la conformité d'une pratique avec les impératifs de protection d'une Directive ne saurait constituer une raison de ne pas transposer cette Directive dans l'ordre juridique interne par des dispositions susceptibles de créer une situation suffisamment précise, claire et transparente pour permettre aux particuliers de connaître les droits et de s'en prévaloir. Ainsi que la Cour l'a jugé dans l'arrêt du 15 mars 1990, Commission / Pays-Bas (339/87, non encore publié au Recueil, point 25), afin de garantir la pleine application des Directives, en droit et non seulement en fait, les Etats membres doivent prévoir un cadre légal précis dans le domaine concerné. 30

I t may be deduced from this case law that, generally speaking, administrative measures are not sufficient to incorporate environmental Directives in national law and that regulations or even laws are needed for this purpose, as soon as these Community instruments pronounce prohibitions, fix concentrations or otherwise refer to rights or obligations of individuals. Furthermore, these legal measures must be published in an official gazette or some other suitable form, so as to inform all persons subject to the law about measures to protect the environment and enable them to ensure they are complied with. Another important problem is that of limit values. Sometimes, it is argued that there is no need to explicitly include the limit values set at the Community level for the concentration of certain pollutants in the air or water in the national legislation, but that all Member States have to do is to ensure that the values are observed in practice. The Commission has always firmly asserted that the Community limit values must be enshrined in generally applicable legislation or regulations. I t must be possible to find the limit value set by the Community in the national rules. The Court of Justice stated in this regard: 31 Thus, it is clear that legal certainty also requires the specific transposai of individual limit values, maximum permissible concentrations and emission values into national legislation. A general reference to Community legislation is not permitted.

A Directive is also deemed to be incompletely incorporated if, for example, national law allows administrative authorities to make exceptions to the provi30

Court of Justice, Case 131/88, Commission v. Germany, Judgment of 28 February 1991, as yet unreported. 31 Court of Justice, Case 361/88, Commission v. Germany, Judgment of 30 May 1991, as yet unreported.

24

Ludwig Krämer

sions of the national law in question, while the Directive does not provide for such exceptions. The same applies if the definitions of the Directive are not incorporated in their entirety into national law — which would alter the scope of the Directive. Another example is that of Directive 85/337/EEC on the assessment of the effects of certain projects on the environment. The measures taken by some Member States to implement that Directive leave it entirely to the discretion of the Member States to decide whether such an assessment is needed for projects covered by Annex I I to the Directive. However, the recitals and the various clauses of the Directive, particularly Article 2, clearly imply that an environmental impact assessment must also be made for the projects listed in Annex I I , whenever the nature, scale or site of the project so dictate. Accordingly, the national legislation must make provision for the assessment of the projects listed in Annex I I in such circumstances. National legislation providing only for environmental impact assessments of projects listed in Annex I cannot, therefore, be regarded as complete. U n t i l now, little has been done to tackle the problem of sanctions provided for by national legislation implementing the Community rules. Recently, the Court of Justice ruled that Member States are under an obligation to impose sanctions for non-compliance w i t h their national provisions implementing a Community Directive. 3 2 Each Member State is free to choose whichever sanctions it considers appropriate, as long as they provide an adequate, effective deterrent in proportion to the offence, and are of equivalent force to the sanctions imposed in similar cases by the national legislation. Financial sanctions came to Community environmental policy almost through the back-door. Following the amendment of the EEC Treaty in 1987 and the implementation of its Article 130 d, the Council, in 1988 adopted Regulation 2052/88 on the reform of the Community Structural Funds 33 or, in more simplistic terms, on the main instruments of financial intervention of the EEC in matters of agricultural, regional or social policy. Article 7 of this Regulation states: Measures financed by the Structural Funds or receiving assistance from the European Investment Bank or from another existing financial instrument shall be in keeping w i t h the provisions of the Treaties, w i t h the instruments adopted pursuant thereto and w i t h Community policies, including those concerning . . . environmental protection.

Thus, according to this provision, measures may not be financed with resources from the Structural Funds if they fail to comply with all the provisions of secondary environmental legislation and, in addition, the objectives of Community environment policy, as set out in Article 130 r (1) of the Treaty. 32

Court of Justice, Case 68/88, Commission v. Greece, E C R [1989] 2965. Regulation 2052/88 on reform of the Community Structural Funds, OJEC 1988, N o L 185/13. 33

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25

Subsequently, on several occasions the Commission suspended payments in the framework of regional policy which were destined to co-finance projects that did not altogether comply with environmental legislation. The main areas covered were the construction of motorways or other infrastructure projects without a proper environmental impact assessment according to Directive 85/337/EEC. As evaluated from the echo in the national media, this blocking of funds had a far greater impact on national or regional decision-making procedures than any procedure under Article 169 could have hoped to achieve. What is more, the systematic approach by the European Investment Bank and by the Commission, to ask whenever a project is submitted for financial assistance whether environmental legislation is complied with, has a marked, though admittedly slowly increasing, preventive effect on local, regional or national administrations, particularly in the transport, infrastructure, or economic development sectors. The threat of financial sanctions is, of course, limited. U n t i l now, there has not been one single decision to refuse payment due to disregard of environmental legislation. A n d in the area of large or important infrastructure projects the political pressure exercised becomes overwhelming — casting some doubt whether the threat of refusal to give financial assistance really is an effective tool in monitoring implementation. In the end, much probably depends on the determination to give full effect to Article 7 of Regulation 2052/88. a) Nature Conservation In none of the Member States is Directive 79/409/EEC on the conservation of birds 3 4 incorporated into national law by a single legislative instrument or set of rules. For a start, rule-making powers in the sphere of nature conservation are often delegated to the regions, as is the case in Belgium, Germany, Italy, Spain and the United Kingdom. Even in a country like France, the rules governing hunting are laid down partly at the departmental level and on an annual basis as regards the hunting periods. Furthermore, the rules incorporating the Directive into national law relate to nature conservation, the protection of endangered species and hunting, and are therefore laid down in legislation which is traditionally separate. As a result, the Commission has to scrutinize more than twenty texts in some Member States and study how they relate to one another, and is sometimes unable to keep track of the frequent amendments which are made. In a large number of Member States the rules on hunting, which were introduced long before the adoption of Directive 79/409/EEC, have not been brought into line with it, due partly to the activities of pressure groups. The Commission has therefore initiated proceedings on the grounds of partial compliance against most of the Member States, including the United Kingdom, Germany, Denmark and 34

Directive 79/409 (note 17).

26

Ludwig Krämer

the Netherlands. I n the case of Germany and the Netherlands, the matter was even referred to the Court of Justice 35 but the necessary amendments still have to be made. A specific problem concerns certain birds which are sometimes considered not to need protection. I n its proposal for Directive 79/409/EEC, the Commission had suggested to exempt such birds — jays, magpies, rooks and others — from the field of application of Directive 79/409/EEC. 36 The Council unanimously decided that all wild birds need protection. 3 7 When the Commission later tried to enforce Directive 79/409/EEC, it met with considerable opposition. The United Kingdom, Germany, Denmark, Ireland and others deliberately deviated from the Directive's requirements and provided for little or no protection for a number of "pest" birds. 38 I n 1991, the Commission proposed an amendment to Directive 79/ 409/EEC which allowed the hunting of a number of pest birds, thus adapting the law to practice. 39 The Directive allows for derogations "where no other satisfactory solution can be found" (Article 9). This very general wording has led to over-generous derogations being granted under the national rules. As regards Directive 85/337/EEC, 40 the task of assessing the compliance w i t h Community law of the national provisions giving effect to it is complicated by the fact that most Member States have only recently introduced legislation. These national rules are often very complex owing to their regional nature, do not always refer to the same criteria as Directive 85/337/EEC and contain omissions or deviations. The most serious problem encountered so far concerns the incorrect transposai of the provisions relating to the assessment of the environmental effects of projects under Annex II. According to the Commission's interpretation, Articles 2 and 4 (2) of the Directive do not allow the Member States complete discretion as to whether or not to require an assessment of projects under Annex I I ; such an assessment must be made when, for instance, the nature, scale or location of a project so requires. Therefore, the national legislation must stipulate that each case be examined on its own merits, or must lay down criteria for projects under Annex II.

35

Court of Justice, Case 288/88, Commission v. Germany, Judgment of 3 July 1990, not yet reported, Case C 339/87, Commission v. Netherlands, Judgment of 15 March 1990, not yet reported. 36 37 38 39 40

OJEC 1977, N o C 24/3. Directive 79/409 (note 17). O f course, each Member State had its own list of "pest" birds. OJEC 1991, N o C 63/19. Directive 85/337 (note 14).

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b) Water I n applying Directive 74/440/EEC (quality of surface water), 41 a number of Member States exempt surface water which is "bank-filtered" before being used as drinking water. I n support of such exemptions they invoke a statement entered into the Council minutes when the Directive was adopted. 42 The Italian legislation expressly stated that compliance with certain parameters would not be monitored. The legislation of several Member States on drinking water (Directive 80/778/ EEC) 4 3 is a cause for concern, either because the maximum authorized concentrations of certain pollutants have not been incorporated in the national legislation, or because the national rules make express provision for certain concentrations to be exceeded. Derogations of this kind were provided for in Germany (up until 1989), Italy, Spain (up until 1991) and Belgium. In addition, Germany and the United Kingdom have issued recommendations for action in the event of certain values being exceeded: this practice seems contrary to the requirement to apply the Directive in full. The Commission has asked the Court of Justice to give a ruling on the nature of the obligation of the Member States to incorporate the details of Directive 80/68/ EEC on groundwater into national law. The Court's decision, confirming the Commission's viewpoint, fixed important requirements for the implementation of Directive 80/68/EEC and, indeed, other environmental Directives. 44 c) A i r Pollution The Commission takes the view that the Directives laying down air quality limit values which "must "not be exceeded throughout the territory of the Member States" must be transposed into national law in such a way that the limit value laid down is incorporated into the national legislative instrument. As there was a difference of opinion on this point between the Commission and Germany, the Court of Justice, to which the Commission had referred the matter, handed down a judgment during 1991 with precise criteria as to what may be required of national implementing legislation. 45

41

Directive 75/440 on the quality of surface water intended for the abstraction of drinking water, OJEC 1975, N o L 194/26. 42 The Court of Justice has ruled that declarations in the Council minutes, which are not published, may not be used for the interpretation of a Directive, Case 429/85, Commission v. Italy [1988] E C R 416. 43 Directive 80/778 on the Quality of Water Intended for Human Consumption, OJEC 1980, N o L 229/1. 44 Court of Justice, Case 131/88 (note 30). 45 Court of Justice, Case 361/88 (note 31).

28

Ludwig Krämer

The incorporation of Directive 84/360/EEC on air pollution from industrial installations 46 into national law has proved a problem in some Member States, in particular as regards the clause which stipulates that the authorities must require new plants to use the best available technology not entailing excessive costs. The problem is that while this requirement is designed first and foremost to ensure that the Directive is actually applied in practice, this is not possible in the absence of a corresponding requirement in the national rules. Furthermore, in the absence of a consensus determining what the best available technology in a specific sector of industry actually is, each Member State interprets this notion in a different way. d) Chemicals In the chemicals sector the problem of partial compliance arises above all in the context of Directive 82/501/EEC on the prevention of industrial accidents and the subsequent amendments to i t . 4 7 The complex and innovative nature of this Directive has led to disparities between the national rules on certain points, particularly where they pre-date the Community rules. e) Noise As regards the conformity of national legislation to the Directives, Belgium granted exemptions from Directive 80/51/EEC on aircraft noise, allowing the regional airports more time to come into line with the Directive. 48 The Commission initiated an urgency procedure, and at the beginning of 1991 was informed by the Belgians that the exemption had expired at the end of 1990 and would not be extended. f) Waste Monitoring the compliance of national legislation with the Community provisions on waste has proved particularly difficult since the Commission has been preparing substantial amendments for a number of years now, in particular to Directives 75/442 (waste), 49 79/319 (dangerous waste), 50 76/403 (PCBs and PCTs), 5 1 84/631 (transport of waste) 52 and 85/339 (containers of liquids for human 46

Directive 84/360 on A i r Pollution from Industrial Plants, OJEC 1984, N o L 188/20. Directive 82/501 on the Major-Accident Hazards of Certain Industrial Activities, O J E C 1982, N o L 230/1. 47

48

Directive 80/51 on the Limitation of Noise Emissions from Subsonic Aircraft, OJEC 1980, N o L 18/26. 49 50

Directive 75/442 on Waste, OJEC 1975, N o L 194/39.

Directive 78/319 (note 7). Directive 76/403 on PCB-PCT, OJ 1976, N o L 108/41. 52 Directive 84/631 on the Transfrontier Shipment of Hazardous Waste, OJEC 1984, N o L 326/31. 51

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consumption). 53 By now, most of the planned amendments have been incorporated in formal proposals for amending Directives. I n several cases it was deemed inappropriate, if not impossible, to initiate the procedure under Article 169 against a Member State if the Community provision in question was liable to be amended by the Council. Here, too, the lack of precise definitions in the Directives has been a problem. For example, the definition of toxic and dangerous waste in Directive 78/319/ E E C 5 4 is so vague that it is hardly surprising if Member States adopt many varying approaches to defining what constitutes dangerous waste. Directive 75/442 and 78/319 state that (hazardous) waste must be disposed of "without endangering human health and without damaging the environment, and in particular . . . without risk to water, air, soil and plants and animals." 55 From a strictly legal viewpoint, a clause of this kind can easily be transposed into a national rule which, while it follows the original to the letter, may easily be circumvented in practice in disposing of hazardous waste. Furthermore, there is a difference of opinion between the Member States and the Commission as to whether waste should be governed by Article 100 a or Article 130 s. This has led the Commission to ask the Court of Justice for a ruling on the matter. 5 6 Finally, in spite of the Court decisions in 1990 reaffirming that recyclable waste should be classified as waste, 57 some Member States treat this waste as a product and therefore exempt it from the rules applicable to waste. These problems, allied to staff shortages and the fact that the application of environmental law has only been systematically monitored since 1984, have meant that there has been no systematic monitoring of the compliance of the national rules with Community law. A further contributory factor has been the failure of the Member States to draw up the waste management plans or programmes which they are required by the Directives to adopt, forward to the Commission and then implement. The Commission has thus been mainly engaged in examining the compliance of the national legislation with Community law which is actually being implemented. 3. Inadequate Application of Community Environmental Rules National legislation implementing a Community Directive on the environment cannot provide automatic protection for the environment. I t must be applied in 53

Directive 85/339 (note 28). Directive 78/319 (note 7). 55 Directive 75/442 (note 49), Article 4; Directive 78/319 (note 7), Article 5. 56 Case C55/91, Commission v. Council, OJEC 1991, N o C 288/8. 57 Court of Justice, Case 206-207/89, Zanetti, Judgment of 28 March 1990, not yet reported. 54

30

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practice. I n other words, plans or programmes must be adopted and implemented, limit values must be enforced, official licences must be adapted, etc. Even national legislation copying a Directive word for word will remain meaningless unless it is applied. Every Community Directive on the environment includes a clause requiring the Member States to inform the Commission of the national rules adopted to implement the Directive and to send the text to the Commission. Consequently, incorporation of the Directives into national legislation and the compatibility of this national legislation with the Commission provisions can be monitored by examining the texts adopted. However, the Community Directives do not normally contain a clause requiring the Member States to inform the Commission of the effective implementation of the Community rules on the environment. I t is true that many of the Directives on the environment require the Member States to submit regular reports on the measures taken to implement the Directives or specific aspects of the Community rules. However, not all Member States systematically submit these reports to the Commission. Only a minority, in particular Denmark and the United Kingdom, have fully complied with their obligations. The Commission mentioned this in its report to Parliament on the implementation of the Community waste Directives. 58 In this case, as with Directive 79/409/EEC, 59 several Member States failed to submit their reports, making it impossible for the Commission to publish its own three-yearly report on the measures taken to implement the Directives. A similar situation has arisen in the case of air quality, 6 0 where the Commission's yearly reports have fallen behind schedule because the Member States have been submitting their own reports late, if at all. Apart from the submission problem, the national reports on the implementing measures usually give no detailed evidence of effective implementation of the rules on the environment. Instead, they primarily provide a brief summary of the technical and administrative measures already in place or adopted. The reports from the Member States therefore are rarely a source of information on effective implementation of Community environmental rules. The Commission has conducted some studies of its own on effective implementation of the Directives on the environment in the Member States, although inevitably only in a limited number. 61 A n added problem which necessarily limits 58

Commission (note 27). Directive 79/409 (note 17). 60 Directive 80/779 on A i r Quality L i m i t Values and Guide Values for Sulphur Dioxide and Suspended Particulates, OJEC 1980, N o L 292/30; Directive 82/884 on a L i m i t Value for Lead in the Air, OJEC 1982, N o L 378/115; Directive 85/203 on A i r Quality Standards for Nitrogen Dioxide, OJEC 1985, N o L 87/1. 61 These studies are not systematically published. 59

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the value of such studies is that it has proved extremely difficult to gain access to the data held by the national, regional or local authorities on, for example, the frequency and results of the inspections, the firms inspected, the conditions laid down in the licences granted or the pollution levels recorded. Consequently, the Commission's main sources of information are the complaints. The complaints system introduced by the Commission in the late 1960s, originally to smooth the way for the completion of the internal market, has mushroomed spectacularly in recent years where the environment is concerned. This trend has been boosted by the growing number of written and oral questions or petitions reporting inadequate implementation of the rules on the environment. The Commission has decided to treat these in the same way as complaints. The following figures show the development: 62

Number of Complaints and of Cases Otherwise Detected by the Commission s Own Inquiries A l l sectors of EEC activity

Environment Year

Complaints

1982 1983 1984 1985 1986 1987 1988 1989 1990

10 8 9 37 165 150 216 465 480

Cases otherwise detected

Complaints

Cases otherwise detected

352 399 476 585 791 850 1.137 1.195 1.252

112 192 145 244 293 260 307 352 283

_ -

2 10 32 38 33 60 42 Sectors in 1990

Air Chemicals Water Noise Waste Nature

Complaints

Cases otherwise detected

26 5 140 6 34 269

2 -

22 1 3 14

(Directive 85/337/EEC on the assessment of the effect of certain public and private projects on the environment is included under "nature") 62

Commission (note 11), 57-59; the data for 1990 have not yet been published.

32

Ludwig Krämer Complaints and Cases Otherwise Detected 1982-1990 63

1 = complaints

2 = cases otherwise detected

Country

1982

Belgium Germany Denmark Spain France United Kingdom Greece Ireland Italy Luxemburg Netherlands Portugal

Belgium Germany Denmark Spain France United Kingdom Greece Ireland Italy Luxemburg Netherlands Portugal

1985

2

1

2

1

2

1

2

1 1 -

-

1

_

_ _

1 1

-

1

2

-

-

0 3 1

1 1 1

4 1

-

1 1 1

-

-

-

1

-

2 2 4

3 11 14 2

2 3 1 -

1

-

-

-

3

1

8

0

9

2

37

10

-

1 2

-

-

0

1987

1986

1984

1

10

Country

1983

1988

-

1989

1990

1

2

1

2

1

2

1

2

1

2

7 6 1 5 44 32 53 13

3 6 2 5

4 14 4 29 16 30 17 9 16 4 7

3 6 3 4 1 3 3 1 6 5 1 2

6 35 5 51 36 31 13 12 15 1 2 9

3 3 1 4 2 7 2 2 3 1 5

18 36

5 10

3 3 1 10 6 9 11 3 7 3 2 2

17 56 3 111 47 125 40 19 33 3 7 19

5 2 16 2 2 4 9 2

150

38

216

33

465

60

480

42

-

2 2 165

-

3 5 3 2 3 -

32

-

-

91 43 192 24 24 22 -

T h e fact t h a t individuals are able t o register a c o m p l a i n t w i t h the C o m m i s s i o n , can p r o m o t e t h e creation o f a C o m m u n i t y - w i d e awareness o f the e n v i r o n m e n t , strengthen t h e accessibility o f the i n s t i t u t i o n s of the European C o m m u n i t i e s f o r 63

Commission (note 11), 57-59; the data for 1990 have not yet been published.

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the man-in-the-street, and bring home to the individual the fact that he bears part of the responsibility for his environment and can contribute to its protection and maintenance. The Commission makes every effort to encourage complaints. Every letter complaining that Community environmental law — or Community laws relating to other fields — is being infringed is entered in a special register of complaints maintained by the Commission. The Commission does not require that the complainant provides proof of his contentions, cites provisions and Directives or observes other formalities. However, the complaint must be sufficiently specific to enable an investigation to be carried out. Such vague claims as "birds are being killed in . . . " or "the water in X is undrinkable" are not treated as complaints. The Commission informs the complainant that his letter has been entered in the register of complaints and, at the same time, requests the factual and legal information from the Member State needed to assess the complaint. The Commission obtains its own expert's opinions and, where necessary, requests that documents be submitted to it. As yet there have been no formal hearings of witnesses of the parties involved, as part of the process of investigating a complaint such action would seldom have any practical relevance. When the facts of the case have been clarified, the Commission makes a formal decision within one year of receiving the complaint. If the Commission decides to initiate a procedure under Article 169, it sends a letter of formal notice to the Member State in question, which — like all other action taken in the course of the complaint procedure — treats the identity of the complainant as confidential. If the Commission has been unable to discover an infringement of Community law, it discontinues the procedure and informs the complainant accordingly. There is no provision for complaining about the discontinuation of the procedure. 64 However, a complainant may, of course, advance counterarguments which can lead to a new procedure. Yet although these complaints from members of the public, industry, nongovernmental organisations, and, on occasion, local authorities, embassies or even government ministers express the concern felt for the environment and the importance attached to action by the Community, the current arrangements display two main disadvantages from an institutional point of view: The Commission has to concentrate its efforts on the cases brought to its attention by the plaintiffs. These are not necessarily either the most serious or the most urgent cases. Above all, a complaint is a sign that the citizens are willing to seek a solution to the problem facing them. If the public resigns itself to a deteriorating environment, there is virtually nothing the Commission can do. Secondly, effective implementation of the rules on the environment depends on 64

Court of Justice, Case 247/87 Star Fruit Company v. Commission (1989), E C R 836.

3 GYIL 34

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Ludwig Krämer

application at the local, regional or national level, which is more effective in some places than in others — a situation that runs counter to the principle that Community rules must be applied identically throughout the Community. Thus, when the Commission tackles the non-respect of Directive 76/160/EEC on the quality of bathing water as regards this or that beach, 65 it does not at the time tackle the quality of other bathing water in the same Member State or, indeed, in other Member States. Directive 80/778 relating to the quality of water intended for human consumpt i o n 6 6 is one example. As the Commission had no data on the quality of the drinking water in Greece as a whole it initiated just one procedure concerning one specific site in that country in response to a complaint. However, after receiving numerous complaints about the drinking water quality in the United Kingdom, Germany, France, Spain, Belgium and other Member States, the Commission initiated a series of general procedures based on Article 169 against those countries. The Commission lacks the resources to assess the validity and accuracy of the data or the reports received from the plaintiff. Basically, all it can do is to ask the Member States for their comments on the points raised by the person lodging the complaint. W i t h some 500 complaints a year, this generates a constant flood of requests for information, exchanges of documents, etc., aggravated by the fact that the central authorities in the Member States themselves have to seek the data from the regional or local authorities or firms concerned, a cumbersome procedure, although by no means justifying the often lengthy delays before the Member States reply. The Commission has to base its own assessment of the case on the replies which it receives. However, since the Commission lacks the resources to study each file submitted to it in depth, there is a danger that any action it takes will be limited. What is more, the Commission departments are steadily becoming overloaded with processing increasingly difficult, complex technical complaints. One such example is the procedure to assess whether the Member States have really taken the measure to avoid "any disturbances affecting birds insofar as these would be significant having regard to the objectives" of conserving wild birds (Article 4 (4) of Directive 79/409), 67 where some of the dossiers substantiating the complaints are several thousand pages long. Similar situations have arisen with complaints asking the Commission to examine whether dangerous wastes are being disposed of "without endangering human health and without harming the environment" (Article 5 of Directive 78/319). 68 The same applies to environmental 65

Directive 76/160 on the Quality of Bathing Water, OJEC 1976, N o L 31/1.

66

Directive 80/779 (note 43). Directive 79/409 (note 17). Directive 78/319 (note 7).

67 68

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impact assessments, where some plaintiffs submit bulky, highly complex dossiers requiring detailed examination to ascertain whether the rules laid down in the Directive on the content of the impact assessment have been observed. There are numerous examples of this kind, for instance, the construction of motorways, highspeed railways, bridges, tunnels, dams etc. Many Directives call for preparation of a plan or programme designed to bring about a gradual improvement in the state of the environment. But since neither "plan" nor "programme" is defined in the environmental directives, the Member States' interpretations vary widely. A l l too often these plans or programmes are not submitted to the Commission, despite the specific requirements laid down in the Directives. For example, the Commission's first report on the implementation of Directive 80/779 on air quality limit values for sulphur dioxide and suspended particulates 69 stated that over 120 sites had been designated as highly polluted by the Member States, which therefore should have submitted clean-up plans for them. By the time of the Commission's fourth report 56 such sites remained. However by the start of 1991 the Commission had received just eight clean-up programmes. Moreover, the Commission has received no clean-up programme for any of the four sites designated by the Member States under Directive 82/884 on lead in the air. 70 Finally, neither has the Commission received a single programme for the 35 zones designated under Directive 85/203 on air quality standards for nitrogen dioxide, 7 1 apart from a number of general measures from France to improve air quality. There is one other reason for mentioning these three Directives. They not only stipulate that the quality objectives which they have laid down should not be exceeded within the territory of the Member States but also require the Member States to set up measuring stations to see whether they are exceeded at the sites where the highest pollution levels are suspected. However, the wording says nothing about the number of measuring stations required. As a result, Germany (excluding the new Länder) has 200 stations, France 85 and the Netherlands 42, but Spain has just 15 and the United Kingdom only six. 7 2 I t is repeatedly argued in complaints that nitrogen dioxide levels in the air are too high in one Member State or another. But all too often it turns out that no air quality measurements are taken at the site mentioned in the complaint. Since the complaints concerned built-up areas, this leads to the conclusion that in some parts of the Community, the limit values are not respected all over the territory of 69 70 71

Directive 80/779 (note 60). Directive 82/884 (note 60). Directive 85/203 (note 60).

72 Institute for European Environmental Policy, Control of Implementation of Community Directives on A i r Pollution in Member States (London) 1987.

3'

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Ludwig Krämer

a Member State, but rather only at those places where measuring stations are installed. 73 Apart from these procedural problems, there is one other major obstacle to monitoring the practical implementation of the Community Directives: The Directives, which are addressed to the Member States, not to private citizens or firms, are often imprecisely worded. For example, several stipulate that companies emitting pollutants must use "the best available technology not entailing excessive cost". 7 4 Since the Community has given no clear, precise definition of the implications of this concept for individual industries, it is interpreted differently from one Member State to another, from one industry to another and, probably, even from one company to another. Article 13 of Directive 84/360 requires the Member States to "implement policies and strategies . . . for the gradual adaptation of existing plants . . . to the best available technology . . . not entailing excessive costs". 75 The loose wording of this clause makes it virtually impossible to monitor whether a given Member State has fulfilled its obligations under Article 13 of this Directive at any given installation. Article 3 of Directive 85/210 on the lead content of petrol 7 6 requires the Member States " t o take the necessary measures to ensure the availability and balanced distribution within their territory of unleaded petrol from 1 October 1989". The Commission has initiated several Article 169 procedures to ensure the effective implementation of this clause. Nevertheless, the difficulties hampering rigorous application of Article 3 are only too obvious. Directives 75/442 on waste and 78/319 on dangerous waste 77 stipulate that waste should be disposed of "without endangering human health and without harming the environment", and in particular "without risk to water, air, soil, plants or animals". I t is submitted, that this clause would be precise enough to oblige cleanup measures for leaking landfill sites, but obviously gives broad scope for interpretation. Article 6 of Directive 76/160 on bathing water quality, 7 8 in conjunction with Annex V to the Directive, calls for the monitoring of the salmonella content in bathing water, "should inspection . . . reveal that there is a discharge or a probable discharge of substances likely to lower the quality of the bathing water". Monitoring can therefore be avoided simply by not carrying out the inspections, which are left to the discretion of the Member States. 73 74 75 76 77 78

See wording of Article 6 and Annex I I I of Directive 85/203 (note 60). Directive 84/360 (note 46), Article 4; Directive 89/369 (note 15), Article 3. Directive 84/360 (note 46). Directive 85/210 (note 21). Directive 75/442 (note 49); Directive 78/319 (note 7). Directive 76/160 (note 67).

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Articles 3 and 4 of Directive 89/428 on waste from the titanium dioxide industry 7 9 require the Member States to prohibit all discharges of the waste into water bodies covered by the Directive with effect from the end of 1989. However, it also allows the postponement of this ban until 1992 or 1994 "if serious technoeconomic difficulties" so dictate. I t is virtually impossible for the Commission to monitor this clause, all the more so since the Commission bears the burden of proof that the techno-economic difficulties are not serious enough to require postponement once a Member State has invoked it. The Commission's efforts to monitor effective implementation of Community Directives have concentrated on the cases highlighted by complaints, petitions or written or oral questions. Each case has been systematically investigated in line with the Commission's internal instructions for handling complaints, which reflect the guarantee given on the complaint form that every case will be looked into. 8 0 Beyond this, the Commission has almost no other sources of information enabling it to assess whether the Directives on the environment are effectively implemented. In cases where its investigations into a complaint or a matter raised by Parliament reveal a more general problem, the Commission examines the practice in each Member State. For example, when the Commission discovered that Belgium was failing to comply with Directive 80/51 on aircraft noise 81 it asked all the other Member States for information to check whether the aircraft landing on their territory complied with the Directive. O n rare occasions, the Commission departments visit a place in order to find out more about the facts of a particular complaint. These visits take place at the initiative of the Commission, which informs the Member State and the complainant of its intention, in order to ensure that all facts can be clarified on the site. Though the repercussions of such visits are sometimes considerable, they cannot be called inspections, since no investigation is carried out. I t would seem more appropriate to call them fact-finding missions, since their main purpose is to clarify all the facts of a case in order to allow a proper legal assessment of whether there is a breach of Community law. The European Parliament has been asking for several years for environmental inspectors to be instituted at the Commission. They would be charged to check the implementation of EEC environmental legislation in and by Member States. 82 This request was repeated in 1989 when the Commission suggested the creation of an European Environmental Agency. Parliament wanted this Agency to also be able to make inspections, whereas the Commission 79

Directive 89/428 on Waste from the Titanium Dioxide Industry, OJEC 1989, N o L 201/56. 80 The internal instructions are not published. See, however, the standard complaint form which has been published by the Commission and which gives complainants some "guarantees" as regards the handling of the complaint, OJEC 1989, N o C 28/6. 81 82

Directive 80/51 (note 48). European Parliament (note 3).

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Ludwig Krämer

and the Member States preferred to give it the task mainly of collecting, processing and distributing data on the environment. By way of compromise, an Article 20 was included in the Council's Regulation creating the Agency, stating that the Council would, within two years, reconsider the question whether environmental inspection should be one of the Agency's tasks. 83 A t the Community level, inspectors act at present in the areas of customs, fishery, competition and nuclear energy. Furthermore, Community veterinarians, together with Member States' veterinarians, visit slaughterhouses inside the EEC and in all other countries which import meat into the EEC, in order to check hygiene conditions. If Community inspectors can act in all of these sectors, there is no institutional argument against having EEC environmental inspectors. The opposition to this proposal thus seems to be rather ideological. The Commission has, until now, refrained in two areas from systematically taking action each time a Member State fails to meet an obligation explicitly imposed by a Directive. The first is the submission of a clean-up plan or programme. There have been too many such cases. For example, no Member State has sent the Commission plans, as provided for in Article 12 of Directive 78/319, relating to the disposal of toxic and dangerous waste throughout its territory. 8 4 The same applies to Directive 75/442 on waste. 85 The unsatisfactory situation as regards the clean air programmes has been mentioned above. As regards water quality, Article 7 of Directive 76/464 86 requires the Member States to determine the level of pollution of surface and coastal waters by the substances included in List I I of the Directive and t o lay down quality objectives in this area. The second area concerns the non-submission of reports on the measures taken to implement the Directives on the environment. Once again, there have been so many cases that systematic action was probably considered unlikely to produce any improvement. The failure to submit clean-up programmes and reports on the measures taken to implement the Directives is a sign of the weakness of the local, regional or national authorities' infrastructure for environmental protection. Preparation and implementation of clean-up plans or programmes calls for constant action entailing the deployment of considerable human and financial resources by the administrations concerned. These resources are not available in sufficient quantity everywhere in the Community. 83 Regulation 1210/90 on the Establishment of a European Environmental Agency, OJEC 1990, N o L 210/1. I t should be noted that the word "inspection" is not used in the text. 84

Directive 78/319 (note 7). Directive 75/442 (note 49). 86 Directive 76/464 on Pollution caused by Certain Dangerous Substances Discharged into the Aquatic Environment, OJEC 1976, N o L 129/23. 85

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To try to solve the problems encountered with the reports on implementing the Directives, the Commission submitted, in 1990, a proposal for a Council Directive to ensure more rational, systematic preparation of the national reports. 87 In particular, it proposed that these reports should be: (a) based on a questionnaire compiled by the Commission; (b) written sector by sector (air, water, waste, etc.); (c) submitted at three-yearly intervals. This proposal will, once adopted, fill a major gap in implementation of the Community law on the environment. a) Nature Conservation The practical application of Directive 79/409 88 represents the greatest problem as far as monitoring the application of environmental legislation is concerned. The Directive requires Member States to designate habitats for birds under particular threat — listed in Annex I — and to implement specific conservation measures in those areas. The designated habitats must form a coherent network throughout Europe capable of ensuring the conservation and survival of these birds. So far, some 600 habitats have been designated, about half the figure estimated to be necessary. Only Denmark and Belgium have entirely fulfilled their obligations in this regard. The proceedings instituted under Article 169 relate essentially to two situations, namely an insufficiency of designated areas and the destruction of habitats — already designated or due to be designated as areas of importance for the conservation of the birds listed in Annex I — as a result of economic activities (agriculture, industry, urban development, tourism, transport systems, etc.), which in some cases receive assistance from the Structural Funds. Striking a balance between economic interests and environmental needs is very complicated in almost all cases. The judgment of the Court of Justice in case 57/89 which involved a designated habitat in Germany, now provides some guidelines to the Commission and to Member States as regards the interpretation of Article 4. 8 9 Little information is available about the practical application of the derogations which are granted. The annual reports which the Member States are meant to forward to the Commission either fail to arrive or are couched in such general terms that they make it virtually impossible to discern whether the provisions of Article 9 are being complied w i t h in letter and in spirit. A t the end of 1990 the 87

O J E C 1990, N o C 214/6. Directive 79/409 (note 17). 89 Court of Justice, Case 57/89, Commission v. Germany, Judgment of 28 February 1991, as yet unreported. 88

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Ludwig Krämer

Commission published a report "Information sur Papplication de la directive 79/ 409". 9 0 The fact that until now it has not been possible to publish a single one of the three-year reports which it is obliged to publish under Article 13 of that Directive aptly illustrates the difficulty in obtaining appropriate information. I n the majority of Member States the implementation of Directive 85/337 91 is still in its infancy. Except in very extreme cases the Commission refrains from intervening as regards the quality of impact studies and the subsequent assessment, as the Directive makes no such provision. The result is that, even when the procedure provided for by the Directive is formally observed, the impact studies are often mediocre and almost invariably under-estimate environmental effects. In addition, the opinions expressed by members of the public when consultations are held are not necessarily taken into account by the authorities. The impact assessment therefore frequently takes on the appearance of a formal exercise designed to justify the completion of a project which has already been decided upon on the basis of economic and technical criteria. Furthermore, where the realisation of large infrastructure projects is in question, such as the building of motorways, high-speed railways, bridges, tunnels etc., the political pressure at all levels is such that the procedural means of Directive 85/ 337 are often not sufficient to ensure that the environmental impact is properly weighed against other interests. b) Water The practical application of the water pollution directives represents by far the biggest problem in the water area. 92 W i t h the exception of Directive 76/160, 93 the Commission receives very little information on the application of these directives. The main source of information continues to be complaints from individuals, which have been particularly numerous in relation to bathing water and drinking water. As regards the directives laying down quality objectives (Directives 75/440 on surface water, 94 76/160 on bathing water, 95 78/659 on fish waters, 96 79/923 on 90

Commission des Communautés Européennes, Information sur l'application de la directive 79/409/EEC, Bruxelles-Luxembourg 1990, E U R 12835. 91 Directive 85/337 (note 14). 92 See also Nigel Haigb / Graham Bennet / Pascale Kromarek / Thierry Lavoux , European Community Environmental Policy in Practice, Comparative Report: Water and Waste in Four Countries. A Study on the Implementation of the EEC Directives in France, Germany, the Netherlands and the United Kingdom, London 1986. 93 94 95 96

Directive Directive Directive Directive

76/150 (note 65). 755/440 (note 41). 76/160 (note 65). 78/659 on the Quality of Fishing Waters, OJEC 1978, N o L 222/1.

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shellfish waters 97 and 80/778 on drinking water), 98 the Member States were required to draw up clean-up programmes for water which did not meet the requirements of the Directives, in order to meet the quality objectives within the time limit laid down by the Directives. I n a large number of cases, these were either not drawn up or not implemented, with the result that the quality objectives are still not met. The annual reports published by the Commission on bathing water show that some 20 % of the bathing waters covered by Directive 76/160 do not comply w i t h Community provisions. 99 Failure to adhere to the maximum authorized concentrations laid down by Directive 80/778 (drinking water) is a problem in all the Member States, particular, regarding parameters for nitrates and pesticides. Also, where both directives are concerned, there are cases where not all the parameters in question are measured. Regarding Directive 78/659, 100 only three Member States have notified the Commission of fishing waters which fall within the scope of the directive; the figure for Directive 79/923 is four. 1 0 1 None of the Member States has forwarded quality objectives to the Commission for the substances featured in List I I of Directive 76/464, 102 and at least ten Member States have not forwarded details of clean-up programmes. The forwarding of reports on the implementation of measures in the various sectors contained in List I is the exception rather than the rule, and does not enable a reliable picture to be formed as to the extent to which these Directives have been followed by the Member States. c) A i r Pollution A l l the air pollution Directives call for ongoing activity on the part of the authorities to ensure application of the protective provisions which they contain. This applies above all to Directives 80/779, 82/884 and 85/203 concerning air quality, which require measuring stations to be installed in those areas judged by the Member States to be the most polluted. 1 0 3 In addition, programmes are to be prepared to reduce pollution as quickly as possible in those areas where the limit values are exceeded or are likely to be exceeded. The very vague wording concerning the installation of measuring stations has led to great disparity in the number of stations in the different Member States. I t 97

Directive 79/923 on the Quality required of Shellfish Waters, OJEC 1979, N o L 281/

47. 98

Directive 80/778 (note 43). The last Report [the 7th] was published in 1990: Commission of the European Communities, Quality of Bathing Water 1988, Luxemburg 1990, E U R 12579. 99

100 101 102 103

Directive 78/659 Directive 79/923 Directive 76/464 See references in

(note 96). (note 97). (note 86). note 61.

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Ludwig Krämer

was already mentioned that while there are over 200 stations in Germany (Directive 85/203), there are only six in the United Kingdom. The clause contained in the Directive stating that the limit values may not be exceeded "throughout the territory" is therefore impossible to monitor. O n a number of occasions, the Commission's inquiries as to the level of N O x or S 0 2 in a specific area have received the reply that there is no measuring station in that area. The problem of pollution reduction programmes in areas designated by the Member States has already been referred to. The number of programmes and their effectiveness in reducing pollution appear to be unsatisfactory. As the annual reports from the Member States on the implementation of the Directives are also late, 1 0 4 the extra contribution of the three Directives to reducing air pollution remains limited. Directive 85/210 on the lead content of petrol 1 0 5 requires the supply of lead-free petrol to be evenly distributed within Member States by the end of 1989. Proceedings have been instituted against several Member States which have failed to ensure a balanced geographical distribution. Lead-free petrol has been introduced more rapidly in those Member States where there is a marked price difference between leaded and unleaded petrol. 1 0 6 As regards Directive 84/360 on air pollution from industrial installations, 107 there is not enough coherent and reliable information on the application to new installations of "the principle of the best available technology not entailing excessive costs". Moreover, the Member States have not provided any information regarding the policies and strategies adopted to bring existing installations into line with technological requirements. Any individual case must therefore be examined on its own merits, which proves particularly difficult. d) Chemicals The Commission has been making a special effort regarding the Directives in the chemicals sector. I t organizes regular meetings with experts from the Member States to discuss matters of a practical and legal nature relating to implementing the Directives. These consultation meetings have apparently resulted in fewer implementation difficulties. The cases which do arise mainly concern access by individuals to information under Article 8 of Directive 82/501 108 or the notification of accidents pursuant to the same Directive. 104

A t the end of 1990 the Commission had adopted three reports on Directive 80/779, two on Directive 82/884 and one on Directive 85/203. 105 Directive 85/210 (note 21). 106 The Commission suggested a specific article for that purpose, OJEC 1984, N o C 178/ 5; the Council did not follow this proposal. 107 Directive 84/360 (note 46). 108 Directive 82/501 (note 47).

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e) Waste Directives 75/442 and 78/319 109 require Member States to designate the competent authority or authorities responsible for planning operations in a particular area and the content of the plans being defined by the Directives. Where hazardous waste is concerned, only three Member States have notified the Commission of disposal programmes. Germany has forwarded programmes for only some parts of its territory, and even these do not meet the requirements of the Directive. None of the other Member States has forwarded plans. Directive 85/339 110 requires programmes to be drawn up and implemented in order to cut down the number of containers of liquids for human consumption. Five Member States have not forwarded any programmes, and of those which did, some were very late. Directives 75/442, 75/439,76/403 and 78/319 require implementation reports to be forwarded to the Commission every three years. 111 Almost without exception the Member States failed to produce such reports. The Commission therefore sent out a detailed questionnaire to the Member States on each of the four directives. Replies were received from seven Member States and the Commission initiated procedures against the others. 1 1 2 The questions asked related mainly to the compliance of the national measures adopted with Community law rather than to the extent to which they were being applied. Two-yearly reports on Directive 84/631 were due in 1987 and again in 1989. 113 To date, none of the Member States has complied with this requirement. The Commission has therefore had to rely on complaints, petitions and parliamentary questions, and even on the media, for the bulk of its information on threats to the environment caused by waste disposal. Very often it is a private citizen who, for example, is directly affected by the pollution caused by improper waste disposal, or whose favourite bathing spot is polluted by discharges of waste and who, failing to get satisfaction from the national authorities, submits a complaint to the Commission. There are clearly very serious problems in most of the Member States as regards applying the Community rules on waste. Most countries do not appear to have detailed plans or programmes for the disposal of waste, hazardous waste in particular, and the existing programmes are not always managed satisfactorily. The 109

Directive 75/442 Directive 85/339 111 Directive 75/442 N o L 194/23; Directive 110

(note 49); Directive 78/319 (note 7). (note 28). (note 49); Directive 75/439 on the Disposal of Waste Oils, OJEC, 76/403 (note 51).

112 See for instance Court of Justice, Case C-48/89, Commission v. Italy, Judgment of 14 June 1990, as yet unreported. 113 Directive 84/631 (note 52), Article 13.

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Ludwig Krämer

aim of the Directives, i. e. to ensure the disposal of (hazardous) waste without damage to humans or the transfrontier shipments of toxic waste, is virtually impossible in the absence of precise rules and definitions. I t is therefore hardly surprising that the construction of new waste treatment plants is the subject of controversy among local residents, and that the completion of the internal market is greeted with apprehension as far as waste is concerned. Accordingly, it is essential for the monitoring of the application of the rules on waste to be stepped up at the national and Community level, in order to obtain an integrated Community-wide waste management scheme — which does not exist at present.

V. Monitoring Compliance W i t h International Conventions As stated above, the Commission does not control the implementation of international conventions by Member States, even where the Community itself has ratified these conventions. A n exception is made only in those cases where the EEC has adopted legislation which thus obliges Member States in their turn to transpose EEC law into national law. I t is submitted that the Commission exercises a self-restraint which is legally incorrect. A n example might help to illustrate the issue: The Berne Convention on the conservation of European wildlife and natural habitats of 19 September 1979 was ratified by the E E C 1 1 4 and by most of its Member States. The Convention requests the Contracting Parties to ensure the conservation of species of wild flora and fauna, in particular those species that are specified in Appendixes I and I I (Article 4). The EEC has adopted Directive 79/409 on the conservation of wild birds, 1 1 5 but has, until now, not adopted rules on the protection of habitats of other species. The Commission's practice, based on a recital of the decision to become a Contracting Party to the Convention, is that the Commission may well monitor the implementation of the obligations regarding wild birds, but not, for instance, regarding brown bears. The recital in question reads as follows: Whereas the Community will take part in such implementation by exercising the powers resulting from existing common rules and those acquired by it by virtue of future acts adopted by the Council as well as by making use of the results of the Community actions (research — exchange of information) undertaken in the areas concerned. 116

114 Council decision 82/72 concerning the conclusion of the Convention on the Conservation of European Wildlife and Natural Habitats, OJEC 1982, N o L 38/1. 115 Directive 79/409 (note 17). 116 Decision 82/72 (note 114), recital 5.

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Thus, in practice, where the habitat of a brown bear is destroyed in a Member State, the Commission does not undertake any steps and in particular does not start proceedings under Article 169 against the Member State. This practice seems doubtful. I t should first be remembered that since the amendments to the EEC Treaty in 1987, previous disputes about EEC competence as regards nature protection have disappeared, since Articles 130r to 130t certainly give the EEC competence to regulate nature protection questions. The main argument follows from the nature of the EEC's obligation under the convention. The EEC has promised to take the necessary steps in order to protect the habitats of (amongst others) brown bears. I t follows from Article 5 of the EEC Treaty that all Member States are obliged to co-operate to achieve this goal. Article 5 reads: Member States shall take all appropriate measures, whether general or particular, to ensure fulfilment of the obligations arising out of this Treaty or resulting from actions taken by the institutions of the Community. They shall facilitate the achievement of the Community's tasks. They shall abstain from any measure which could jeopardize the attainment of the objectives of this Treaty.

By becoming a Contracting Party to the Berne Convention, the EEC has undertaken to take the necessary measures to protect the habitats of the brown bear all over the territory of the EEC. Under Article 5 of the EEC Treaty, Member States are thus obliged, by virtue of Community law, to take the necessary steps in order to allow the Community to honour its obligation deriving from the Berne Convention. Where an EEC Member State allows the destruction of such a habitat, it makes it impossible for the Community to respect its obligation. This is a breach of the obligation deriving from Article 5. Under the general rules of Articles 155 and 169 of the Treaty, it must be possible for the Commission to call a Member State to order where a specific attitude of that Member State leads to a situation which implies a breach of the Community's obligations towards other Contracting Parties under the Berne Convention. The general power of the Commission is all the more evident if the brown bear example is varied slightly and the case is constructed so that the only habitats of the brown bear within the EEC are located in an EEC Member State which has not signed and ratified the Berne Convention. Under the interpretation given by the Commission, this Member State would be free to completely destroy the brown bear habitats, since it is neither bound by the Convention nor by any rule of EEC law, since no Community legislation for bear habitats exists. Under the interpretation submitted here, by virtue of the Community's accession to the Berne Convention, a Member State is obliged under EEC law (Article 5 of the Treaty) to protect the habitats. The Commission could bring such a case before the Court of Justice under Article 169.

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The recital which was quoted above does not contradict this result. Indeed, when the EEC decided to become a Party to the Convention in 1981, the majority of EEC Member States were of the opinion that the EEC had no general competence in matters of nature protection. Since the amendment of the EEC Treaty in 1987 this EEC competence is no longer in dispute, as Articles 130 r to 130t are very broadly phrased and cover virtually all aspects of environmental policy. Since at least 1987 the recital of the Decision of 3 December 1981 has thus become irrelevant. Since the protection of habitats is the most serious threat to flora and fauna in Western Europe, it is to be hoped that the Court of Justice will find occasion to express itself on the issue of monitoring implementation of international environmental conventions of which the EEC is a contracting party. One such way could be a preliminary ruling under Article 177 of the EEC Treaty.

V I . Publication: Participation of Non-Governmental Organisations The correspondence between the Commission and Member States on compliance is not made public. Following some requests made in the United Kingdom, the European Parliament repeatedly asked for the publication of the so-called "compliance letters" i.e. the letters by which a Member State informs the Commission of measures taken to transpose an EEC directive into national law. 1 1 7 However, information given to the Commission is most often limited to the transmission of the relevant piece of legislation. 118 The letters of formal notice and reasoned opinion are not published. Occasionally the Commission publishes a press release on such cases as it considers important. The impact of these press releases is very great, particularly in the United Kingdom w i t h its outstanding, highly sensitive journalism. The decision to refer a case to the Court of Justice follows the same rules. Since 1983 the Commission publishes annual reports on the implementation of Community legislation, which include a section on environmental legislation, but which do not reveal details. 119 The whole procedure under Article 169 is thus rather non-public. The reason why the monitoring of EEC environmental policy has received so much public attention these last years is due to two other features: on the one hand there is an 117

European Parliament (note 3). The Commission has established a database, C E L E X which contains all national implementation legislation and which is open to the public. 119 1st Report, C O M (84) 181 final of 11 A p r i l 1984; 2nd Report, C O M [85] 149 of 13 May 1985; 3rd Report, OJEC 1986, N o C 220/1; 4th Report, OJEC 1987, N o 338/1; 5th Report, OJEC 1988, N o 310/1; 6th Report, O J E C 1989, N o C 330/1; 7th Report, OJEC 1990, N o C 220/1. 118

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Laws by the EEC

internal instruction by the Commission that each complainant is entitled to receive an acknowledgement of receipt of his complaint. 1 2 0 Furthermore, the complainant is to be informed of any decision which the Commission has taken in his case. I n this way, complainants in environmental cases are informed whenever the Commission has dispatched a letter of formal notice or a reasoned opinion or when a case was referred to the Court of Justice. 121 I t is up to the complainant to decide what use he wants to make of this information; and in Member States where the media are open to environmental issues, the public debate can have an enormous influence on decision-making procedures. The second reason for public attention is the watchdog rôle of the European Parliament. N o t only has Parliament constantly — though until now unsuccessfully — urged the Commission to change its internal rules and publish letters of a formal notice and reasoned opinion. 1 2 2 Members of the Parliament also keep asking written or oral questions on procedures under Article 169 enquiring about advances in the procedures, thus compelling the Commission to inform the public about pending files. In 1990, M r Ripa di Meana, the member of the Commission responsible for the environment, presented to the public a "first Commission report on the implementation by Member States of EEC environmental law", in which he gave, Member State by Member State, information about the decisions which the Commission had taken under Article 169. 123 The relevant data published were the following: Decision to Open Article 169 Procedures as of 31 December 1989

Member State

Belgium Germany Denmark Spain France United Kingdom Greece Ireland Italy Luxemburg Netherlands Portugal

Absence of communication of national measures 11 4 1 4 1 4 12 5 8 3 4 3 60

Incomplete or incorrect transposition of national legislation 10 14

Bad application in practice

Total

16 12 6 2 4 7 4 14 2

26 11 4 38 28 21 31 9 25 5 6 9

47 29 5 57 41 31 45 21 40 12 24 14

90

213

362

-

48

Ludwig Krämer Procedure under Article 169 on 31 December 1989 Letter of formal notice

Reasoned opinion

Referred to the Court

27 13 5 45 28 18 37 16 17 9 18 10

8 8

11 8

9 6 8 5 5 16 2 5 4

242

76

Belgium Germany Denmark Spain France United Kingdom Greece Ireland Italy Luxemburg Netherlands Portugal

-

Total 46 29 5 57 41 31 45 21 40 12 24 14

-

3 7 5 3 -

7 1 2 -

44

362

Sectors Member State Belgium Germany Denmark Spain France United Kingdom Greece Ireland Italy Luxemburg Netherlands Portugal

120

Water

Air 3 4

Waste 18 2

Chemicals 5 3

Noise 2

11 9 2 12 15 16 10 7 9 5 6 2

2 3 5 4 2 4 2 2 1

10 2 3 6 3 10 2 2 4

4 1 3 2 2 2 3

3 1 3

-

-

104

32

62

25

13

-

-

-

1

-

-

-

3 -

Nature

Total

7 11 2 29 20 4 20 7 12 2 8 7

46 29 5 57 41 31 45 21 40 12 24 14

129

362

See complaint form OJEC 1989, N o C 28/6. See previous note. 122 European Parliament (note 3). 123 Commission document P-5 of 8 February 1990; it should be noted that the figures refer to decisions taken, though not necessarily executed (yet). 121

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This report produced strong reactions in the media in every Member State 1 2 4 and from the 12 governments, though nobody seriously contested the points made in the report that (a) Community Directives on the environment are not properly applied by the Member States; (b) the quality of the environment is deteriorating and the Community legislation which should be protecting it is failing to produce satisfactory results. Whether, in view of the different reactions, there will be a second report on the implementation of environmental law in 1991 is, as yet, uncertain. I t is not clear either, to what extent the discussion on access to environmental information will influence the degree of transparency of Article 169 procedures. 125 There is no specific ruling on the participation of environmental organisations in the Article 169 procedure, though it is true that many complaints are introduced by local, regional, national or international environmental organisations. These organisations have specific means for selecting complaints and influencing the media in order to make the complaint procedure part of their campaign. Their activity in matters of enforcement is without doubt very seriously hampered by the limited transparency of procedures. Geographically, marked differences exist, such as for instance, numerous complaints from Spanish environmental groups and very few complaints from Dutch organisations.

V I I . General Conclusions The attempt to systematically monitor the implementation of EEC environmental law by Member States had a number of rather important consequences. Despite the somewhat limited publicity which surrounds the procedures, public opinion has become aware of the possibility of taking action against environmental degradation, contamination or pollution. While in some Member States pollution was, and partly still is, considered to be some "act of God", the possibility of sending complaints to the EEC Commission and having a local environmental problem examined, has promoted awareness and increased sensitivity. The Commission was seen rather as a central body, capable of even taking a stand against 124 See for instance: Pietrro Sormani , CEE, i "cattivi" deirecologia. La leadership negativa die Spagna, Belgio e Italian, in: Corriere della Sera, 9 February 1990; Alan Hope, Britain Heads EC Pollution Culprits, in: The Guardian, 9 February 1990; La Belgique montrée du doigt par la Commission, in: La Libre Belgique, 10-11 February 1990. I n France, a Parliamentary Committee made a special report to the Parliament on the findings, Assemblée Nationale, Annexe au procès-verbal du 26 June 1990, Doc. N o . 1535. 125 I n 1990 the Council adopted Directive 90/313 on access to environmental information, O J E C 1990, N o L 158/56; the Commission committed itself to making a proposal for extending these rules on Community institutions.

4 GYIL 34

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national administrations — a possibility which the public does not seem to have in all Member States. The turning of "soft law" into hard law and the application of Community Directives as rules of binding law rather than as some form of recommendation has probably surprised many local, regional and national administrations. This process of integrating Community environmental law into national environmental law is far from being completed. Furthermore, many administrations were not accustomed to seeing their practice being questioned by an outside body and having to justify why this or that authorisation was given, or this or that habitat destroyed. This challenging of administrative sovereignty was, at the same time, a monitoring of the EEC environment despite national sovereignty. Generally, it can be said that Member States accepted the Community monitoring process, since it also brought advantages: for instance, central environmental administration was made aware of imperfect implementation at the local level, or it was able to successfully argue an environmental case against other, more powerful departments of the same administration, using the Commission's letters as support for its own arguments. Other aspects were also important, for instance, changes of national legislation in order to adapt it to EEC environmental requirements; or the preventive effect which a threat to expose the Member State to a sort of a public blame from Brussels inevitably had. If it is true to say that environmental protection profits most from public awareness and public participation, the media echo brought about by decisions from the EEC Commission may have contributed to avoiding some deterioration of the environment. The monitoring process went so far as to influence the form of environmental law-making. The most obvious evidence for this is the gradual reduction in the use of circulars. The fact that more and more regulatory instruments are used demonstrates a growing maturity of EEC environmental law. Other notable changes concern the content of legislation and its application in practice which became more similar from one Member State to the other than would have been the case without the EEC monitoring procedure. Also, the evidence that quality objectives can hardly be monitored and are, in fact, almost never monitored in Member States will undoubtedly have some impact on legislators. Lastly, more attention is being given at the drafting stage of EEC legislation to how it would be implemented in practice. The specific nature of Community environmental law also creates a number of problems for monitoring its implementation, some of which are enumerated hereafter. Procedures take a very long time and all too often the damage to the environment is irreparable by the time EEC steps in. Part of the delay is due to the fact that all correspondance with Member States has to pass the Permanent Representations of Member States with the EEC. N o direct contact with polluters or local authorities, although it is possible would allow much quicker action. In

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decentralised Member States this often causes a very serious problem, all the more so when relations between central and regional levels are difficult. A further major hindrance to promoting efficiency is that of administrative secrecy. The whole procedure under Article 169 is largely non-public or even secret. Since the Commission does not have inspectors of its own, it must rely largely on the complainants' arguments and the administration's reaction. I t is often doubtful whether these two sources of information are sufficient to assess a situation properly. Mobile measuring stations and inspectors would probably be very useful in two-thirds of all complaints. Their absence is felt very heavily. To these problems must be added that of the absence of sanctions. I t is well known that a number of Member States quite openly do not respect Community law requirements. In his first implementation report, 1 2 6 Commissioner Ripa di Meana expressly mentioned implementation of Community rules on waste in Belgium and Italy. Indeed, an important number of Court descisions have come out against these Member States — apparently without much success. Other Member States disregard some directives for years without being sanctioned. Public blame is almost the only sanction, and even that needs reception by the media in order to condemn the action. Access to national courts in environmental matters is very difficult in practice because of the limited right to bring an action and the high costs involved. The EEC complaints procedure might be some substitute for that fact; however, it remains impossible for the future to properly monitor all upcoming complaints — which might well exceed 1000 per year. Some form of decentralisation will thus be necessary, for instance, in the form of a national complaints-handling system. The punctual action undertaken by the Commission can be and is successful in some cases, leading to changes in legislation or to changes in practice. However, this action is unable to remedy any weakness in the environmental infrastructure of a Member State. Where an administration sees environmental impact assessments, protection of habitats, reduction of emissions to air, soil or waste as a nuisance, which is still sometimes the case, the Commission's intervention under Article 169 is likewise seen as a nuisance rather than as an opportunity to properly protect the environment — and to properly respect legal obligations under the EEC Treaty. And, while Community intervention might be supportive to the environmental administration at a local or regional level in the discussion with other administrations, it cannot permanently establish a balance in the influence of these different administrations. The implementation procedure does not contribute greatly to the establishment and implementation of clean-up plans and programmes either. Where a national administration is not able or not willing to honour the corresponding 126

4*

Commission (note 125).

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commitments under EEC environmental legislation, it is normally extremely difficult to change such an attitude. This then brings back the question raised at the beginning of this article: Can the EEC implementation and enforcement procedure contribute some form of model for other regions in the world? A l l direct or indirect criticism voiced in this article should not let us forget several major advantages which the Community's implementation actions in the environmental sector have brought about and which are essentially the following: (1) There is a "central" body which looks into national environmental legislation and — at least as important — into environmental practice in order to level its compliance with EEC environmental rules. Neither national parliaments nor national administrations thus necessarily have the last word on environmental issues; (2) Controversies are decided by the Court of Justice, which is highly respected and has sufficient authority for its judgment to be accepted; (3) Individuals may raise the question of the compliance of any measure with Community environmental rules and have a guarantee from the Commission that their case will be examined. Thus, they no longer regard environmental pollution as an "act of God", but become aware of the possibility of protecting "their" environment. (4) The European Parliament's activities, the Commission's own initiatives, as well as actions from non-governmental organisations contribute to bringing cases of non-compliance to the attention of the public. This feature, which is linked to the functions of public opinion within the EEC Member States, is environment's greatest potential ally. (5) Administration in Member States is gradually accepting that its environmental actions can be questioned by the EEC administration. Thus, not only does environmental law-making go beyond the nation-State, but so does implementation control. Major deficiencies in the procedure are the absence of inspection possibilities on the one hand and of sanctions on the other. Both deficiencies would not be too important if, at the level of all Member States, inspection facilities existed and appropriate sanctions were practised — which is the case only in a minority of Member States. I n the competition area the Commission has managed to obtain inspectors who control the compliance w i t h Community competition rules all over the EEC. The Commission itself has the power to pronounce sanctions against breaches of competition laws. Should it one day be possible to obtain inspectors and sanction facilities t o monitor compliance with Community environmental law, then the

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"Ombudsman role" of the Commission in favour of the environment would be considerably strengthened. A t that moment, the implementation control could serve as an example for other regional organisations in the world. I t seems fair to say, though, that the EEC has already gone far in its attempt to make environmental legal rules work in practice.

The Protection of the Environment i n Times of Armed Conflict Legal Rules, Uncertainty, Deficiencies and Possible Developments By Michael Bothe

I. The Relevant Problem Areas Recent developments have stirred a new debate concerning the legal rules governing the protection of the environment in times of armed conflict. The correct answers to the multitude of problems posed in this respect are highly complex because the two different areas of international law which are relevant have developed considerably, but separately, during the last years. The relevant documents which constitute the major developmental steps in each of these fields of international law contain only sporadic mention or recognition of the other field. Only a more comprehensive analysis of both fields of international law makes possible clearer answers as to legal situations in which they overlap. In order to establish applicable rules, it is first necessary to make some distinctions. In times of armed conflict it is basic to distinguish the relationship between the parties to the conflict and the relationship between those parties and third States. While the relations between the parties to a conflict are as a matter of principle governed by the law of armed conflict, it must be asked whether certain elements of the law of peaceful relations still apply in spite of the armed conflict. And, while the relationship between parties to a conflict and third States is governed by the law of peace, it must also be asked whether, due to the existence of an armed conflict, there may be certain modifications of those peacetime rules. 1 Furthermore, the legal regime and the applicable rules are different depending on the location of elements of the environment which may be affected by military activities. 2 These elements of the environment may be situated on enemy land, in sea areas subject to enemy jurisdiction, on neutral land, in sea areas subject to 1

Michael Bothe y Neutrality in Naval Warfare. What is left of traditional international law?, in: Astrid J. H. Delissen / Gerard J. Tanja (eds.), Humanitarian Law of Armed Conflict, Essays in H o n o u r of Frits Ralshoven , Dordrecht/Boston 1991, 387 et seq. 2

Natalino Ronzitti> Introductory: The Crisis of the Traditional Law Regulating International Armed Conflicts at Sea and the Need for its Revision, in: Natalino Ronzitti (ed.), The Law of Naval Warfare, Dordrecht/Boston/London, 1988, 1 et seq., 13 et seq.

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neutral jurisdiction or on the high seas. W i t h respect to each of these locations, different rules apply. II. The Environment Situated on Enemy Land The protection (or lack thereof) of any element of the environment located on enemy land is governed by a number of general rules concerning land warfare and by a few specific treaty rules relating to the environment. First of all, elements of the environment may constitute "enemy property" within the meaning of A r t . 23 (g) of the Hague Rules on Land Warfare. Thus, its destruction is unlawful unless "imperatively demanded by the necessities of war." Any destruction providing no military advantage is prohibited. Recent experience shows that this rule indeed also has a practical meaning in relation to the environment. More importantly, however, the environment is protected as being part of the civilian world. Anything which is not a military objective is a civilian object and enjoys the corresponding protection. Thus, it must be asked whether certain elements of the environment may be objectives because they contribute effectively to military action and their total or partial destruction, capture or neutralisation offers a definite military advantage.3 As some declarations made on the occasion of the signature or ratification of Protocol I additional to the Geneva Conventions make clear, a specific area of land may indeed be a military objective if the conditions just mentioned are fulfilled. 4 Thus, interdiction fire on an area where enemy troops are about to pass is certainly permissible, even where the enemy troops are not yet there. 5 But all elements of the environment which do not contribute to the military effort of the State are indeed civilian objects. N o attacks may be directed against them. 6 They are also protected by the rule of proportionality. 7 Any attack against a military objective which causes collateral damage to civilian objects, including the environment, is unlawful if that collateral damage is excessive in relation to the 3 A r t . 52 para. 2, 2nd sentence of Protocol I Additional to the Geneva Conventions of August 12,1949, of June 10,1977: "Military objectives are limited to those objects which by their nature, location, purpose or use make an effective contribution to military action and whose total or partial destruction, capture or neutralization, in the circumstances ruling at the time, offers a definite military advantage." 4 See e. g. the British declaration made at the time of signature: " . . . a specific area of land may be a military objective if, because of its location or other reasons specified in the article, its total or partial destruction . . . offers definite military advantage." 5 Waldemar A. Solf'm: Michael Bothe / Karl Josef Partsch /Waldemar A. Solf New Rules for Victims of Armed Conflict, The Hague/Boston/London, 1982, 308. 6 A r t . 52 Prot. I. 7 A r t . 51 Prot. I.

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concrete and direct military advantage anticipated. The decisive question, then, is what kind of damage can be considered excessive. This judgment requires a balancing of values at stake, and is thus subject to modification as value judgments change in society as a consequence of historic developments. This balancing has to take into account the development of environmental conscience in society. The increased awareness of environmental problems and the increased importance attached to environmental values by all peoples of the world must have an impact on the proportionality judgment which has to be made where collateral damage occurs as a result of an attack. I t is in making this proportionality judgment that the tremendous developments in environmental law and environmental policy during the last twenty years become legally relevant for the laws of war. The same holds true for another basic and general rule of the laws of war, the socalled Martens clause. As formulated in A r t . 1 § 2, Protocol I, "Civilians and combatants remain under the protection and authority of the principles of international law derived from established custom, from the principles of humanity and from the dictates of public conscience." In our time, the "dictates of public conscience" certainly include environmental concern. While the rule just described, most recently formulated in Protocol I additional to the Geneva Conventions, forms part of customary international law, this is somewhat doubtful as to the specific rules of that treaty which expressly mention the environment. 8 According to A r t . 35 § 3, it is "prohibited to employ methods or means of warfare which are intended or may be expected to cause widespread, longterm and severe damage to the environment." Article 55 also prohibits causing "widespread, long-term and severe damage." Whatever the meaning of those qualifying adjectives is, 9 the scope of application of these rules is limited. Neither A r t . 35 § 3 nor A r t . 55 are meant to lower any standard of protection under the general rules described above. Thus, Articles 35 and 55 prohibit causing damage to the environment even where the environment constitutes a military objective or where the damage to the environment may be considered as not being excessive in relation to the military advantage anticipated. These qualifying objectives, however, present enormous problems of interpretation. For the purpose of interpretation it would be highly dangerous to rely too heavily on the negotiating history. The comments made during the negotiations had only very limited examples of the then recent experience in mind, namely certain environmental damage caused during the Vietnam war. 10 Whether or not a damage is "severe" of course depends 8

Generally on this question: Christopher Greenwood , Customary law status of the 1977 Additional Protocols, in: Delissen / Tanja (eds.) (note 1), 93 et seq. 9 Soif (note 5), 347 et seq.; Alexandre Kiss, Les Protocols additionnels aux Conventions de Genève de 1977 et la protection des biens de l'environnement, in: Christophe Swinarski (ed.), Studies and essays on international humanitarian law and Red Cross principles in honour of Jean Pictet , The Hague/Boston, 1984, 181 et seq., 187 et seq. 10 See: Ecological Consequences of the Second Indochina War, SIPRI 1976.

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on the nature of the environmental problem. I n addition, the evolving knowledge of environmental problems has to be taken into account. What might have not appeared to be "long-term and severe" damage twenty years ago may nowadays be considered as such. Another treaty which must be considered in this respect is the E N M O D (Environmental Modification) Convention. 1 1 While the rules of Protocol I just discussed apply to any attack which has an impact on the environment (the environment as victim), the E N M O D Convention envisages the manipulation of the environment for hostile purposes (the environment as weapon). The military significance of the Convention is probably marginal, and the distinction just described may be difficult to draw in practice. I t is rather confusing that the E N M O D Convention uses the same terms as Protocol I, but due to the difference of their respective regulatory purposes, their meaning is probably different in each treaty. Here again, some clarifications are useful. In addition to these problems of interpretation, the major flaw of both Articles 35 § 3 and 55, Protocol I consists in the fact that they belong to earlier concepts of environmental protection which are more and more considered inappropriate. Traditional international environmental law was mainly concerned w i t h transfrontier causation of environmental "damage". 12 Modern environmental law has developed to now prohibit activities which have an impact on the environment even where no specific damage to any particular element of the environment can be proved. Modern environmental law also protects the environment in the absence of any proved specific damage (principle of precaution). Mankind has come to realize that many human activities have disastrous consequences which were not anticipated when these activities were invented. I t is thus only reasonable not to use the environment to the extreme and to leave a buffer zone for unknown impact in order to preserve the earth for future generations. This is reflected in treaties like the Montreal Protocol prohibiting substances likely to endanger to the ozone layer of the earth 13 and many international instruments on environmental impact assessment.14 Protocol I additional to the Geneva Conventions was formulated in a time when this principle of precaution had not made its way into international 11

Convention on the Prohibition of Military and any other Hostile Uses of Environmental Modification Techniques, 10 December 1976 ( G A res 31/72 of 10.12.1976). 12 Rüdiger Wolf rum, Purposes of International Environmental Law, German Yearbook of International Law 33 (1990), 308-330 (308 et seq.); Alexandre Kiss , D r o i t international de l'environnement, Paris, 1989,30; Lothar Gündling, Environment, International Protection, in: Rudolf Bernhardt (ed.), Encyclopedia of Public International Law (EPIL), 9 (1986), Amsterdam et al., 119-127 (124 et seq.). 13 Protocol on Substances that Deplete the Ozone Layer, 16 September 1987, in: Wolfgang E. Burhenne (ed.), International Environmental Law, Vol. V, Berlin, 1985, Multilateral Agreements N o . 985: 22/A. 14 U N / E C E Convention on Environmental Impact Assessment in a Transboundary Context, Environmental Policy and Law 20 (1990), 181 et seq.

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law. The damage-related formulation of those provisions of Protocol I would be no longer acceptable if negotiations took place today. I t may be time to rethink those provisions. The absence of any specific mention of the environment in the provisions on grave breaches, which require punishment of offenders, also proves that Protocol I belongs to a period of development in international and environmental law which is now gone. Article 85 § 3 requires human injury for a violation in order to be considered a grave breach. The environment, however, is covered by the prohibition of "extensive destruction of property" contained in the definition of grave breaches in the relevant articles common to the four Geneva Conventions of 1949. 15 I t thus appears that the rules providing for some protection of the environment in times of armed conflict need at least some clarification and development. I t would seem to be appropriate to reformulate Articles 35 § 3 and 55, Protocol I in such a way as to include the principle of precaution as a limit also on military activities. I n addition, the qualifying adjectives contained in those provisions, which define a threshold of permissible damage, must be re-evaluated. I t must also be made clear that the protection of the environment is an important element of any balancing of military advantages and civilian damages required under the rule of proportionality. I t would also seem appropriate to develop the provisions on grave breaches in order to more clearly reflect environmental concerns.

I I I . The Environment of Sea Areas Subject to Enemy Jurisdiction The fundamental distinction between civilian objects and military objectives is a general rule of the laws of war and not limited to land warfare. 16 The relevant provisions on the protection of the civilian population and civilian objects contained in Protocol I, however, are, at least technically speaking, applicable only as far as the effects of an attack occur on land. 1 7 It has thus to be ascertained for each particular rule whether it also applies at sea. I t is submitted, that the rules just described also apply as far as effects in the coastal waters of an enemy State are concerned. As to the marine environment of the exclusive economic zone or the continental shelf of a party to a conflict, a more differentiated approach must be taken. I n these zones, States enjoy some of the freedoms of the high seas, in particular the right of navigation. In the exercise of those rights, States must have "due regard to the rights and duties of a coastal 15

A r t . 50 (I Convention), 51 (II), 147 (IV). Cf Dieter Fleck , Topical Approaches towards Developing the Laws of Armed Conflict at Sea, in: Delissen / Tanja (eds.) (note 1), 407 et seq.y 413. 17 A r t . 49, Prot. I. 16

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state". The question must thus be asked whether and to what extent these rules still have any meaning where the coastal State and the State exercising some of the freedoms of the high seas are at war with each other. I t is submitted that except for oil, the resources of the exclusive economic zone and the continental shelf constitute civilian objects belonging to the coastal State. These are protected under the laws of war. The balancing of military advantages and civilian damages may, however, be different where the latter damages occur at sea. This leads to the more general question whether and to what extent certain rules relating to the protection of the environment in peacetime also apply in the relationship between two parties to a conflict. As a rule, bilateral treaties are terminated or suspended by the outbreak of a war unless they were concluded with the war in mind. The effects of multilateral treaties are also suspended between the adversaries, unless they were concluded specifically with a view to the state of war. 18 A modern opinion, however, favours the non-suspension of certain types of obligations even between belligerents. I t would appear that some basic rules relating to the protection of the environment might be counted among the latter obligations. IV. The Environment Situated on Neutral Land As stated above, the relationship between a party to a conflict and a neutral State is essentially governed by the laws of peacetime. There are, however, some modifications of this relationship due to the fact that an armed conflict exists. Thus, the neutral State must tolerate certain measures of the belligerent parties in relation to neutral shipping, namely the prevention of contraband being delivered to a party to the conflict, or even a blockade. 19 The neutral State must prevent its territory from being used by one of the parties to the conflict. 2 0 There is no rule, however, that the neutral State must tolerate damage to its territory by one of the parties to the conflict. Quite to the contrary, Article 1 of the 1907 Hague Convention respecting the rights and duties of neutral powers and persons in case of war on land simply states: "The territory of neutral powers is inviolable." This language appears sufficiently broad to cover all conceivable infringements of a neutral State's territory by war-like activities of belligerent parties. The practice during the Second World War confirms this interpretation. Compensation was paid to Switzerland in cases where collateral damage was caused in Swiss territory 18 Jost Delbrück , War, Effect on Treaties, in: Rudolf Bernhardt (ed.), EPIL 4 (1982), Amsterdam et seq., 310-315 (310 étal.). 19 Yoram Dinstein , Neutrality in Sea Warfare, in: Rudolf Bernhardt (ed.), EPIL 4 (note 18), 19-28 (19 et seq.); Bothe (note 1), 397 et seq.; Ronzitti (note 2), 2 et seq. 20 A r t . 5 of the Hague Convention (VI) concerning the Rights and Duties of Neutral Powers and Persons in Case of War on Land, 18 October 1907.

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from attacks on targets in neighbouring areas of Germany. 21 There is indeed no evidence that a neutral State has to tolerate any damage caused to its territory by belligerent activities of parties to the conflict. I t is true that this rule may render the use of modern weapons of mass destruction in some cases extremely difficult from the legal point of view. There is no practice of States indicating that this fact has led to a change in the traditional customary law rule. The measure of permissible impact on neutral territory is thus the normal peacetime rules relating to transfrontier pollution. The basic principle underlying these rules is still the prohibition against causing damage (possibly significant damage) to other States. 22 I t is quite clear that the pollution of neutral coasts by oil constitutes a "damage" in this sense. A negligent or intentional causation of such damage is thus an internationally wrongful act against neutral States. The legal evaluation of air pollution caused by the burning of oilfields is somewhat more complicated. As to whether and to what extent this air pollution has caused or is still causing any significant damage on the territory of neutral States, it is too early to evaluate. 23 More research is needed concerning both the actual spread of pollution and its impact on certain environments. The substances emitted by the fires are not subject to any emission control treaty applicable between the parties to the Gulf conflict. I n Europe or N o r t h America, similar emissions would be relevant under the treaties limiting S0 2 -emissions. As simple as the forgoing conclusions may appear, there is nevertheless a need for the clarification and reconfirmation of these rules. I t may be worthwhile to clarify what the inviolability of neutral territory means in the context of modern threats to the environment.

V. The Environment of Sea Areas Subject to Neutral Jurisdiction For the purpose of applying the rules just described, the territorial waters of a neutral State may be equated with its territory. The question of the protection of the neutral exclusive economic zone or the neutral continental shelf is more complicated. Once more, there is no evidence that in this respect war modifies the rules governing the resources of the exclusive economic zone and the continental shelf which are applicable in times of peace. A n exception may be made where a neutral State uses the resources of those areas in order to give a military advantage 21

G. Jaccard , Über Neutralitätsverletzungsschäden in der Schweiz während des Zweiten Weltkriegs, Zeitschrift des Bernischen Juristenverbandes 87 (1951), 225 et seq. 22 Albrecht Randelzhofer, Transfrontier Pollution, in: Rudolph Bernhardt (ed.), E P I L 9 (note 12), 378-381 (378 et seq.). 23

For a first factual assessment see the Greenpeace Study written by W. A. Arkin / D. Durrant / M. Cherni, O n Impact, Modern Warfare and the Environment. A Case Study of the Gulf War, 1991, 66 et seq.

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to one of the parties to the conflict. This may be the case where oil extracted from the continental shelf of a neutral State is transferred to one of the belligerents. In this case, it may be argued, a party to the conflict could prevent those transfers in a manner similar to belligerent rights against neutral shipping on the high seas.

V I . The Marine Environment of the H i g h Sea The first legal problem posed by the protection of the marine environment in times of war is the interpretation of Article 88 U N C L O S , which reads: The high seas shall be reserved for peaceful purposes. According to the prevailing view, Article 88 only prohibits the use of the high seas for the purpose of committing acts of aggression. 24 The provision does not exclude the possibility of using the high seas for military purposes. Waging war on the high seas is one of the traditional freedoms of the high seas. I t is submitted that this rule has not changed. As with any other freedoms of the high seas, the question is whether the use of the high seas for fighting purposes is legitimate where due regard is paid to the interest of other States in their exercise of other freedoms of the high seas. I t is a rather well-established rule that high-tech naval warfare may negatively affect the freedom of navigation of neutral States. I n other words, the freedom of navigation may not be invoked in order to stop the parties to a conflict from shooting at one another's ships. The possibility of using the high seas for fighting purposes, however, does not imply a license to render the resources of the high seas unusable for other States. Thus, the traditional military uses of the high seas may not be invoked as a legitimation for polluting the high seas. In relation to the causation of oil spills (for example by attacking a tanker flying the flag of another party to the conflict), it must be remembered that the applicable treaty rules are not suspended in the relationship between the parties to the conflict and neutral States. A neutral State thus has the right to claim the protection of the marine environment from the parties to the conflict. The parties to the conflict have no right to invoke the existence of an armed conflict against neutral States as a specific ground to justify pollution. I n the absence of State practice to the contrary, the general rules just described must be applied. The duty formulated by Article 192 U N C L O S also applies in times of armed conflict: "States have the obligation to protect and preserve the marine environment." But the more specific rules of the Convention relating to prevention, reduction and control of pollution are not formulated w i t h a view to military activities, 24

Brun-Otto Bryde , Militärische und sicherheitspolitische Implikationen der neuen Seerechtskonvention, in: Jost Delbrück (ed.), Das neue Seerecht. Internationale und nationale Perspektiven, Berlin, 1984, 151-190 (162).

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particulary not to fighting. There seems to be a need for clarification of the law in this respect.

V I I . Fighting Environmental Hazards During and After an Armed Conflict I n the aftermath of the recent Gulf war, institutional aspects of the protection of the environment in times of armed conflict have also been debated. The possibility of creating a "Green Cross," the task of which would be to work for the protection of the environment in times of armed conflict, is being advocated in certain circles. As to the existing law, it is quite obvious that the function of the International Committee of the Red Cross (ICRC) to work for the respect of international humanitarian law also applies where and to the extent that this law protects the environment. Another question is how actually to combat environmental hazards occurring as a consequence of military activity. Hazards threatening the survival of the civilian population of a party to the conflict are covered by the civil defense provisions of Protocol I. As to a possible rôle for the I C R C , measures to fight environmental hazards may well be covered by the right of initiative which the I C R C possesses. The problems involved are of both a practical and a legal nature. Combating environmental hazards such as oil spills requires resources and technical skills which the I C R C does not possess. O n the other hand, organisations and institutions possessing those resources and skills are not accustomed, nor can they be expected, to work while fighting is taking place. They have no experience in arranging ceasefires in order to enable their work. The experience and knowhow of both the I C R C and institutions working in the field of environmental protection are needed. The rôle of the I C R C is indispensable when it is necessary to create conditions in which those who are in a position to combat environmental hazards can work. Whether and to what extent the fight against environmental hazards could be pursued under the auspices of the I C R C or under those of a different organisation is a question of secondary importance. Especially where certain organisations are already in existence for specified regions, 25 these organisations should rather continue to function once the I C R C has cleared the way for their work. Also in this respect, there is a great need to adapt the law to the particular circumstances and requirements of the protection of the environment in times of armed conflict. 25 I n relation to the Persian Gulf, mention must be made of the Regional Organization for the Protection of the Marine Environment and its Marine Emergency Mutual A i d Centre, established by the Kuwait Regional Convention for Cooperation on the Protection of the Marine Environment from Pollution, and the Protocol Concerning Regional Cooperation in Combating Pollution by O i l and Other Harmful Substances in Case of Emergency, both of 24 A p r i l 1978, I L M 17 (1978), 501 et seq.

Poland's Policies Toward Antarctica By Jacek Machowski

I. Introduction The Polish Government officially entered the Antarctic political arena on April 2, 1959 when it delivered identical notes to the U.S. Department of State and the Embassies of 11 other States in Washington, there negotiating the Antarctic Treaty. I n these notes, Poland requested admission to the negotiations and postulated participation in the forthcoming Antarctic Conference. The motives behind that motion and its timing require detailed explanation. In order to substantiate its direct interest in Antarctica, the Polish Government referred to the following facts: 1 1. A long-standing tradition in polar exploration displayed, amongst others, by the participation of Polish explorers in Antarctic expeditions organized by other nations; 2. the organization of a Polish Antarctic reconnaissance in 1958; 3. the opening on January 23, 1959, of a Polish Antarctic scientific station; 4. the sea-transportation activities in Antarctic waters; 5. the announcement of a plan to organize a Polish scientific expedition to Antarctica during the forthcoming season.

Poland's continuous interest in Antarctica was further amplified by the fact that it became the first country to accede to the 1959 Antarctic Treaty, and by its stubborn and protracted struggle for the acquisition of the Consultative Party status. Most of the immense social science literature pertinent to the Antarctic regime devotes primary or exclusive attention to the position of the United States or of the so-called claimant States. Except for incidental references in some works, not one study has appeared so far that deals exclusively and comprehensively with Poland's policies toward Antarctica. The present Note is aimed at filling that gap. Poland's policy toward Antarctica, being an integral part of its domestic and foreign policies, requires presentation against the background of the latter. For the 1 Press Release of the Polish Embassy in Washington of A p r i l 3, 1959 (mimeographed) also the Polish daily Trybuna Ludu of A p r i l 4, 1959.

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past 45 years Poland's internal and external policies were determined by the ideological factor and the divisions, tensions and conflicts appearing in world policy. The fact that Poland was a socialist State and an ally of the USSR, induced some writers to regard it as a surrogate for Soviet Antarctic interests, overlooking Poland's national interest and its own achievements and its original initiatives in Antarctica. 2 This Note is a modest attempt to complement that narrow picture and to present first hand, impartial, unbiased and comprehensive information on Poland's policies toward Antarctica, with reference to its overall activities in the polar regions. The examination of Poland's policies toward Antarctica will first review Poland's position and behaviour on the major Antarctic regime issues, with primary, but not exclusive, focus on its stand on the "Question of Antarctica" in the United Nations. A n d finally, its scientific and related activities in Antarctica, its position and conduct regarding the exploration and exploitation of the Antarctic living and mineral resources will be discussed. I n its final sections, this Note will deal with Poland's policies in environmental matters and other related problems. The study will close by summarizing the political, economic, scientific and legal aspects of Poland's policies toward the Antarctic regime and by offering some general conclusions on Poland's involvement in the affairs of the southern polar region and its perspectives. Thus, the main objective of this paper is to present Poland's policies toward Antarctica, its position in the Antarctic Treaty System (ATS) and its contribution towards it.

I I . Poland's Road to the Antarctic Treaty System I n spite of Poland's long-standing tradition and extensive experience in polar exploration, its road to the ATS was long and difficult. The attitude of the parties negotiating the Antarctic Treaty in Washington was — with the exception of the Soviet Union — negative towards Poland's demands for admission. As the only one representing a socialist country, the Soviet Delegation felt isolated amongst the 12 parties. I n search of an ally within the emerging Antarctic club, the Soviet Union welcomed the Polish move, giving it the necessary diplomatic endorsement and adequate logistic support to Poland's exploration in Antarctica. That support was motivated by the fact that Poland was, at that time, 2 "Poland (1977) is a fishing State, but not otherwise of great significance in the group (Consultative Group — J. M.) except for providing support to the Soviet Union". Christopher C. Joyner. The Antarctic Legal Regime: A n Introduction, in: C. Joyner / S. K. Chopra (eds.), The Antarctic Legal Regime, Dordrecht / Boston / London 1988, 23, 24. Contrary view earlier expressed F. M. Auburn , who considers that: " T h e Soviet Union clearly does not regard allies as surrogates for its Antarctic interestes". F. M. Auburn , Antarctic Law and Politics, London / Canberra 1982, 83.

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the only socialist country, except the Soviet Union, qualified to apply for admission to the Antarctic negotiating parties. The historic, political, legal and substantive arguments advanced in the Polish notes of A p r i l 2, 1959, were not of much use in the face of the firmly negative position of the delegations opposing Poland's admission to the Washington negotiations. The recipients of Poland's identical notes responded — w i t h the exception of the Soviet Union — by rejecting its claim to participation in the Antarctic negotiations. That attitude reflected the state of East-West relations prevailing at that time. The atmosphere of lessening international tension in the late Fifties and the "thaw" in East-West relations prevented the spread of the Cold War to the farthest reaches of the Southern Hemisphere, while the euphoria of international scientific co-operation after the successes of the International Geophysical Year (IGY) inspired its extension to Antarctica in the years to come. The appearance of the Soviets in Antarctica produced, however, mixed feelings amongst the parties of the Washington negotiations, who, at that time, were not yet ready to admit another socialist State to the exclusive Antarctic club. 3 As a result, Poland was refused the status that it had sought of an original Contracting Party to the Antarctic Treaty, 4 signed in Washington on December 1, 1959. Despite that refusal, Poland, demonstrating its continued interest in Antarctica, acceded to the Antarctic Treaty in accordance w i t h the procedure provided by its Article X I I I . The Council of State of the Polish People's Republic ratified the Antarctic Treaty on April 6, 1961, and Poland's instruments of ratification were deposited with the Government of the United States on June 8, 1961. Thus, Poland became its tenth Party, even before three of the original signatories — Argentina, Australia and Chile. I n accordance with Article X I I I of the Antarctic Treaty, it became binding for Poland simultaneously with its entry into force, on June 23, 1961, that is, after the deposition of the instruments of ratification by all the original Contracting Parties. 5 After that event Poland experienced a period of stubborn and protracted struggle for Consultative Party status within the ATS. The political and legal aspects involved are particularly interesting for its precedential character in the ATS admission practice.

3

The following statement made during the Congressional debate on the ratification of the Antarctic Treaty illustrated these feelings: " D o we want to spread the disease of communism even to the penguins?" — asked Senator Dodd. 106 Congressional Record 16,065 (1960). 4 The Antarctic Treaty signed at Washington 1.12.1959, entered into force 23.06.1961, 12 U S T 794, T I A S N o . 4780, 402 U N T S 71 (hereinafter referred to as Antarctic Treaty). 5 Journal of Laws of the Polish People's Republic (Dziennik Ustaw Polskiej Rzeczypospolitej Ludowej — hereinafter cited as Dz. U . PRL) 1961, N o . 46, item 237 and Appendix containing the text of the Antarctic Treaty.

5 GYIL 34

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Consultative Party status, conditioned by the heavy burden demanded of new entrants to the decision-making group, became the key issue in the following years to Poland's participation in the ATS. Although a considerable number of States have acceded to the Treaty, the granting of Consultative rights has been most restricted for many years and eased only within the last decade, especially in respect of developing countries. 6 I t was only after 16 years that Poland, as the first nonoriginal Consultative Party was admitted to that status. I n July 1977, at the first Special Antarctic Treaty Consultative Meeting in London, after careful consideration of relevant notifications received from the Polish Government on its activities in Antarctica, Poland was accorded the status of an Antarctic Treaty Consultative Party. I n that Decision, the representatives in attendance recorded "their acknowledgment that the Polish People's Republic has fulfilled the requirements in Article I X , paragraph 2 of the Antarctic Treaty and, as a consequence, has the right to appoint representatives in order to participate in the Consultative Meetings provided for in Article I X , paragraph 1 of the Treaty, and hereby warmly welcome the Polish People's Republic as a participant in such meetings." 7 The Decision raised basic issues on the interpretation of the provisions of Article I X para. 2 of the Antarctic Treaty, which requires, for the acquisition of consultative status by the adhering Party, the demonstration of "its interest in Antarctica by conducting substantial scientific research activity there, such as the establishment of a scientific station or the despatch of a scientific expedition." Poland, as mentioned earlier, had extensively substantiated its continuous interest in Antarctica, 8 pointing to (along with other actions) the organization of a Polish reconnaissance in 1958 and the opening of the Dobrowolski Antarctic Station in 1959. That substantiation did not satisfy, however, the members of the Consultative Meeting, who refused to recognize the 1958/59 Polish Antarctic reconnaissance as a "scientific expedition" within the meaning of Article I X para. 2 of the Antarctic Treaty. Also, the opening of the Dobrowolski station, as an Antarctic summer base, was not acknowledged as "the establishment of a scientific station" within the meaning of that article. 9 6 For more than 15 years after the entry into force of the Antarctic Treaty no new country was granted the Consultative status despite the fact that many States acceded to the Treaty. From 1959 t i l l 1985, only five countries were granted that status: Poland (1977), the Federal Republic of Germany (1981), India (1983), Brazil (1983) and China (1985). However, this cautious approach has recently begun to loosen up and by the end of 1989, out of the 39 signatories of the Antarctic Treaty, 22 states enjoyed Consultative Party status, among them six developing countries including Argentina and Chile as original members. Brazil was admitted to Consultative status without the maintenance of an Antarctic station. 7 Decision I I , Antarctic Treaty Handbook of Measures in furtherance of the Principles and Objectives of the Antarctic Treaty, September 1977, 6701. 8 Press Release (note 1).

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I n spite of the above doubts, which lend support to remarks that an "exclusive Antarctic club" had been created, 10 no clear criteria for admission to the Consultative Meetings were defined, and the problem of granting Poland the Consultative Party status was deferred for the next 16 years. I t was revived as late as in 1977, after Poland had established an all-year Antarctic station on King George Island, named the Arctowski Station (62° 09' S - 58° 28' W ) and organized a Marine Research Antarctic Expedition. 1 1 Political and economic circumstances leading to the July 1977 Special Consultative Meeting, which resulted in the accordance of the Consultative Party status to Poland, were characteristic for the atmosphere prevailing at that time on the question of Antarctica. 1 2 A n important debate on the establishment of an Antarctic marine living resources regime was scheduled for September that year, and Poland's participation in this endeavour was essential since it was the leading country in krill research. Failure to agree on Poland's request for admission at a Preparatory Meeting in March 1977 left little time to carry out international negotiations on major issues of principle and clear criteria for admission, especially since the matter was controversial both legally and politically. The July 1977 Special Meeting reported on the general principles and on the particular case of Poland, leaving the outcome intentionally obscure. 13 Putting aside the problem of criteria and the question of the automatic or discretionary admission, the 1977 Special Meeting noted simply that by the establishment of a permanent scientific station, approval of all Consultative Meetings' recommendations and compliance with Article X of the Antarctic Treaty, Poland had fulfilled the requirements of Article I X para. 2 of the Treaty and therefore had the right to acquire the consultative status. 14 y

I n 1958, the Soviet U n i o n transferred to Poland its Oasis Station which was subsequently re-opened as the Polish Antarctic Dobrowolski Station. I t was manned by Poland and later closed. Since 1978 Poland has re-occupied the site as a summer base. According to Auburn (note 2), 151, the requirement to establish an all-year station was foreshadowed in J. Hanessian , Der Antarktis-Vertrag vom Dezember 1959, in: Europa-Archiv 12 (1960), 371, at 381, "presumably as a result of the Polish application in 1959". A t the same time Poland had been advised that it could adhere to the Scientific Committee on Antarctic Research (SCAR) from the date of disembarking a wintering party, SCAR Bulletin 3 (1959), 591. A t this time SCAR criteria for admission were similar to what became Antarctic Treaty practice. 10 G. Skagestad , The Frozen Frontier: Models for International Co-operation, in: Cooperation and Conflict 10 (1975), 168 at 179. 11 S. Rakusa-Suszczewski , Preliminary Report from the first Polish Marine Research Antarctic Expedition on the R V Profesor Siedlecki and the MS Tazar , International Conference on Living Resources of the Southern Ocean, Woods Hole (August 1976). 12 For a convenient account see Auburn (note 2), 147-154. 13 Ibid. , 148. 14 Final Report of the Special Antarctic Treaty Consultative Meeting, London, July 1977.

*

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Granting Poland the Consultative Party status was of precedential character and the decision has been interpreted as favouring a discretionary admission test. Nonetheless some writers warned that the introduction of subjective or political elements might lend support to outside criticism of the Consultative Parties' monopoly. 1 5 As far as Poland is concerned, in order to substantiate its claim to the consultative status, it has chosen the following course of action: although it initially relied upon the argument of organizing the 1975/76 marine research expedition, 1 6 in identical notes addressed on March 2,1977 by the Polish Ministry of Foreign Affairs to State Parties of the Antarctic Treaty, it stated clearly that Article I X para. 2 was complied with on February 25, 1977, the date of the establishment of its all-year permanent Arctowski Station. In the same note, in declaring its entitlement, Poland stated that it had accepted all approved recommendations of the first eight Consultative Meetings, in accordance with its recommendation. 17 Although it is not clear precisely how "substantial" the research must be, Consultative Party status can only be acquired if that research is "scientific". In the case of Poland, shortly before the July 1977 Special Meeting, the U.S. State Department made internal inquiries as to whether the Arctowski Station was a scientific activity. Doubts were raised by the fact that Poland's main interests in the Antarctic were, like West Germany's at that time, in living resources. Poland's claim to Consultative Party status advanced in 1976 was actually based on a krill research expedition. 18 As a result, it had been argued that Poland and the then West Germany were primarily interested in krill exploitation, having located their stations near the major krill concentrations in the Antarctic South American sector, most sensitive to sovereignty disputes. 19 There were only two winter stations on King George Island (Bellingshausen of the Soviet Union and Présidente Frei of Chile) when Poland's Arctowski Station was opened there in 1977. Today, there are a dozen or so stations belonging to many countries in that area. Another factor favouring the July 1977 decision in granting Poland the consultative status, was the growing fear amongst the Consultative Parties of a possible concerted action by States, especially developing countries, and organizations outside the ATS, particularly in light of events taking place at the T h i r d United Nations Conference on the Law of the Sea, proceeding from 1973 onwards. These

15 16

Auburn (note 2), 149-150.

See (note 11). Consultative Meeting Recommendation I I I / V I I (1964) on Acceptance of Approved Recommendations. 18 See (note 11). 19 Auburn (note 2), 153. 17

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fears materialized in the action on Antarctica initiated five years later in the United Nations by the non-aligned countries. Poland did not limit its involvement in the Antarctic regime merely to participation in the Antarctic Treaty, its Consultative Meetings and to the acceptance of recommendations approved by that body and being an integral part of the ATS. So far, Poland has approved all of the recommendations of the Consultative Meetings up to the Fifteenth Meeting held in 1989 in Paris. I t has also regularly notified the U.S. Government, as the depository of the Antarctic Treaty, of measures relating to the furtherance of the principles and objectives of this Treaty. To safeguard the compliance w i t h and implementation of the Consultative Meeting recommendations by the institutions concerned, the competent Polish authorities have adopted the following procedures: after each Consultative Meeting, on the motion of the Minister of Foreign Affairs, who is responsible for the implementation of the Antarctic Treaty provisions, the Council of Ministers approves by way of resolution the recommendations adopted at that particular Meeting and authorizes the Foreign Minister to notify the Government of the United States as depository and the Consultative Parties of the fact. Copies of a Polish translation of the approved recommendations are sent for information and implementation to the Ministers concerned and to the Polish Academy of Sciences which co-ordinates all research activities in the Antarctic. Following attentively from its very inception, Poland has substantially contributed to the dynamic development of the ATS, by its active participation in the negotiating and drafting processes of all its fundamental components: the abovementioned Consultative Meetings' recommendations and the specialized Antarctic conventions. As a result, Poland is at present a party to the following international Antarctic instruments: the 1972 Convention for the Conservation of Antarctic Seals,20 the 1980 Convention on the Conservation of Antarctic Marine Living Resources 21 and the 1988 Convention on the Regulation of Antarctic Mineral Resources Activities. 2 2 Through this involvement, Poland became a full-fledged and active member of the ATS. Its activity is reflected amongst others by its participation in the work of various specialized bodies, provided by the Antarctic Treaty itself and related Conventions, such as the referred Treaty Parties' Consultative Meetings, the 20 Dz. U . P R L (1980), N o . 28, items 119, 120 and Appendix containing the text of the Convention which was opened for signature 1.06.1972, entered into force 11.03.1978; also 29 U S T 441, T I A S N o . 8826, reprinted in: 11 International Legal Materials ( I L M ) 251 (1972), 61. 21 Dz. U . P R L (1984), N o . 61, item 314 and Appendix containing the text of the Convention done 20.05.1980, entered into force 7.04.1982; also T I A S N o . 10240, reprinted in: 19 I L M (1980), 837-862. 22

AMR/SCM/88/78 of June 2, 1988. The Convention has not yet entered into force.

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Commission for Conservation of Antarctic Marine Living Resources, the Scientific Committee for the Conservation of Antarctic Marine Living Resources and many others. I I I . Poland's Position on the "Question of Antarctica" in the United Nations For the last three decades Antarctica has been managed under the Antarctic Treaty regime system. But, in 1983, after more than a quarter of a century, Antarctica returned to the United Nations agenda, challenging the legal status of Antarctica and the Antarctic Treaty itself. The two rival groups in the U N debate are the Antarctic Treaty Parties defending the status quo and the non-aligned countries demanding internationalization of the question of Antarctica. 23 The most striking result of the transfer of the question of Antarctica from the exclusive Consultative Meetings to the public United Nations forum, has been the uncommon degree of solidarity displayed by the Antarctic Treaty Parties — both Consultative as well as Non-Consultative Parties, new signatories, as well as old — in the defence of the present Antarctic regime. This could be noticed distinctly in the statements made by the representatives of these countries in the debates and votes on the question of Antarctica, taking place in the U N General Assembly since 1983. Poland has joined the common strategy adopted by the Antarctic Treaty Parties on the U N forum. 2 4 This solidarity, together with a concertedaction policy, was continued throughout the consecutive General Assembly sessions. I t has been displayed again spectacularly in the U N General Assembly, when the Antarctic Treaty Parties, acting as a solidarity group, refused to participate in the vote on substantial resolutions on the question of Antarctica or to respond to resolution adopted without their participation. A t the 40th General Assembly session in 1985, before the Assembly voted on the resolutions in the "Question of Antarctica", the Australian Representative, acting on behalf of the Antarctic Treaty Consultative Parties, requested that the Assembly records reflect the non-participation of countries through the announcement of the roll-call votes. The group went further, stating that the consensus, hitherto negotiated between them and their opponents, "offers the only reasonable basis for United Nations General Assembly consideration of Antarctica" and that unless a consen-

23 For an account see: The United Nations and the Antarctic Treaty System, in: Proceedings, Eightieth Annual Meeting, the American Society of International Law, Washington D.C., A p r i l 9-121, 1986, Christopher C. Joyner , Chairman, 269-287. 24 Jacek Machowski , The Functioning of the Antarctic Treaty (in Polish), in: Sprawy Miedzynarodowe (International Affairs, Warsaw) 12 (1989), 55-74 (56-59).

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sus can be achieved again, they will be compelled to reconsider their further participation in discussion on Antarctica in the General Assembly. 25 Poland, as a member of both the United Nations and the Antarctic Treaty Consultative Group, displayed its attachment to the letter and spirit of the Antarctic Treaty in the annual debates and votes on the "Question of Antarctica" in the U N General Assembly. 26 The crucial problem reflected within the United Nations debate as to the "Question of Antarctica" was the objective effectiveness of the Antarctic Treaty provisions erga omnes. The Treaty provisions are limited to general references to the United Nations Charter and do not define its relation to third parties. Although the 1969 Vienna Convention on the Law of Treaties did not specify a special category of treaties establishing objective territorial regimes, it did not negate their existence. A t the same time, in international judicial decisions examples can be traced of recognition of the existence of objective legal situations and treaties effective erga omnes. I n this situation, the participants in the United Nations debate and the doctrine of international law were faced with the crucial question: Whether the Antarctic Treaty established an objective, legal regime effective erga omnes in this part of the world? According to one extreme view the Antarctic regime is legally binding on nonparties, as an "objective" regime valid erga omnes. According to others, the rules of the Antarctic Treaty regime do not create valid obligations for any third party without that party's consent. 27 This rule is codified in Article 34 of the 1969 Vienna Convention on the Law of Treaties. In spite of the absence of an unequivocal answer to that question by the practice and doctrine of international law, it may be presumed that the Antarctic Treaty has established at least a regime, under which third parties cannot plead the principle pacta tertiis nec nocent nec prosunt. 28

25

Statement made on behalf of the Antarctic Treaty Consultative Parties by Australian Permanent Representative to the United Nations R. A. Woolcott in the First Committee of the U N General Assembly, on December 2, 1985; also the N o t e sent on behalf of the Consultative Parties by the Australian Permanent Representative to the Secretary of the United Nations on A p r i l 30, 1986. 26 After the statement by Australia on behalf of the Antarctic Treaty Consultative Parties, Poland did not participate in the vote on G A resolutions 40/156 A , Β and C on 16.12.1985. Poland has voted in favour of the G A resolutions 41/88 A and 42/46 A , in 1986 and 1987 respectively, but has, like other Antarctic Treaty Consultative Parties announced that it will not participate in the vote on G A resolutions 41/88 Β and 42/46 B. I t refused to participate in the votes on G A resolutions 43/83 A and Β in 1988 and 44/124 A and Β in 1989. 27 Boleslaw A. Boczek , The Protection of the Antarctic Ecosystem: A Study in International Environmental Law, in: Ocean Development and International Law 13 (1983), 386388; B. A. Boczek , The Soviet U n i o n and the Antarctic Regime, in: American Journal of International Law 78 (1984), 834-858 (856, 857).

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Consequently, Poland is, like other Consultative Parties, opposing the shifting of the so-called "Question of Antarctica" from the ATS into the United Nations forum. A t the same time, Poland is favouring the opening of the ATS to other nations, in particular to the developing countries. Poland emphasizes on all occasions that the Antarctic Treaty Parties are, by their activities in the southern polar region, contributing to the greater good of mankind in whose interests they have been managing the Antarctic regime so far. Let us next evaluate the remaining arguments which were advanced to substantiate Poland's claim to its membership in the ATS. The most significant were those referring to Polish scientific, economic and environmental activities in Antarctica.

IV. Poland's Scientific Investigations in Antarctica One of the major purposes of the Antarctic Treaty is — according to its Preamble — the establishment of a foundation for the continuation and development of co-operation on the basis of freedom of scientific investigation in Antarctica in accordance with the interests of science and the progress of all mankind. The Antarctic Treaty, which emerged from the I G Y experience, was originally devised as a framework for co-operation in scientific research, which logically was given a prominent place in its text. As noted from earlier considerations, the "conducting of substantial scientific research activity" in Antarctica became the prerequisite for the acquisition of Consultative Party status. Since, in the case of Poland the interpretation of the relevant provision of Article I X para. 2 of the Antarctic Treaty became an issue of political and legal controversy, let us have a closer look at the country's scientific activities and their relevance to Polish policies towards Antarctica. As a nation with a long-standing tradition and significant experience in polar exploration and research in the Arctic, Poland emerged after World War I I as the potential candidate for the resumption of scientific investigation in Antarctica. The timing of that endeavour, which was embarked upon in 1958, was the result of the co-incidence of opportune internal and international events and factors which rendered the political and economic obstacles obstructing the earlier resumption of polar exploration in post-war Poland surmountable. Almost on the day after the end of World War I I , a group of surviving Polish polar explorers (Centkiewicz , Dobrowolski , Jahn, Kosiba, Manczarski , Siedlecki , 28 R. Baturo , International Treaties and T h i r d Parties (in Polish), Wroclaw / Warszawa / Krakôw 1971; Anna Wyrozumska , O n the effects of erga omnes treaties (in Polish), in: Pan stwo i Prawo (State and Law) 12 (1985); Alina Prystrom , Problems of the present international legal status of Antarctica (in Polish), in: Sprawy Miedzynarodowe 4 (1986), 103-118 (112-115) and Jacek Machowski (note 24), 58.

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Rôzycki) undertook w i t h the governmental and academic authorities the necessary steps aimed at the reconstruction of Polish polar research, its extension to the Southern Hemisphere and the organization of polar scientific expeditions and stations. The political and economic situation prevailing at that time in Poland was extremely unfavourable for these kind of projects. The linking of science with the centrally planned economy in a country heavily devastated by war, offered little initiative to the senior polar explorers, who in this situation were compelled to turn toward theoretical studies and the training of a new generation of young polar explorers for future expeditions. The eventful IGY, which was preceded by the "thaw" in East-West relations, the easing of the Communist party grip on science in the Eastern bloc countries after the Twentieth Soviet Communist Party Congress, provided a favourable "climate" for scientists in these countries to enter the Antarctic laboratory and experimental range. Polish scientists, preparing for years theoretically for this event, were among the first to avail themselves of this opportunity. The political and economic changes, which ended in the Stalinist era in Poland in 1956, stimulated its activity in international relations, and generally resulted in a more favourable approach of the Polish authorities to the polar research projects submitted by scientists. 29 By the end of I G Y the interest in polar research, stemming from the pre-war traditions, increased rapidly in Poland. Many Polish university centres initiated at that time independent polar research in Spitsbergen, in Greenland, in Iceland, in Alaska, as well as in northern parts of Norway, Canada and the U.S.S.R. The Polish polar explorers also took part in Antarctic research as members of the American and Soviet expeditions. In the Polish Academy of Sciences (PAS), the Institute of Geophysics assumed the responsibility of preparation, co-ordination and direction of polar scientific expeditions to Spitsbergen and Antarctica, with the goal to establish permanent research stations there. In 1957, on the initiative of PAS a marine biological expedition to the Antarctic seas was organized. In August 1958 Polish polar explorers, participating in the I G Y Special Committee meeting in Moscow, approached the Soviet delegation which had expressed the readiness of the Soviet Academy of Sciences to assist in the extension of Polish polar research on Antarctica. I t was natural that the Soviet Union, isolated 29 For a detailed account see Alfred Jahn, The Origin and History of the Polish Polar Ideas (in Polish), in: Czasopismo Geograficzne 50, 1-2 (1979), 3-18. Also: Alfred Jahn, The Polar Club and Its History (in Polish), 15-40; Seweryn Madej Zalewski , The First Poles in Antarctica — the Early History of O u r Antarctic Exploration (in Polish), 41-45; Krzysztof Birkenmajer , The Perspective of Polish Investigations in Antarctica (in Polish), 61-69; all articles in Achievements and Perspectives of Polish Polar Research, X V I Polar Symposium, Torun, 19-20 September, 1989, T o n m 1989 (in Polish).

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politically in the Antarctic Treaty negotiations sought allies in this venture. 30 Amongst them, Poland w i t h its long-standing tradition and significant experience in polar exploration, seemed to be the most suitable candidate for attraction into the emerging Antarctic club. Polish scientists, deeply involved in Arctic exploration, perceived the Antarctic Treaty as an excellent opportunity for the realization of their old dreams and hopes for the extension of their activities into the Southern Hemisphere. Harbouring the hope of Soviet endorsement in Washington negotiations, and expecting logistic support of Soviet Antarctic expeditions, they took direct steps in Moscow with their Soviet colleagues. A n agreement reached in October 1958 between the Academies of Sciences of the Soviet Union and Poland resulted in the transfer to Poland of the Soviet Oasis Station (located in the Bunger Oasis discovered in 1947 on Knox Land on the Antarctic continent, in the sector claimed by Australia, between the stations Mirny (U.S.S.R.) and Wilkes (U.S.A.)) which was then subsequently reopened on January 23, 1959 as the Polish Dobrowolski Station (66° 17' S and 100° 45' E). The successful results of these efforts which culminated in the organization of the first Polish reconnaissance and the opening of the first scientific station in Antarctica, were marred by the protracted endeavours for Poland's admission to the Consultative Meetings. Its failure to gain the acceptance of the Consultative Parties Meeting did not prevent Polish scientists from developing a multi-faceted research programme in Antarctica, resulting in the establishment of two scientific stations and the organization of annual Antarctic expeditions. These activities which are part of Poland's broader involvement in research in both polar regions — Arctic and Antarctic — require suitable internal and external policy, supported by proper legal regulations providing for adequate organizational measures and financial means. During the past 30 years of Poland's scientific activities in Antarctica such machinery was established and developed both at governmental and non-governmental levels, including the PAS and university research centres. Polish research in Antarctica is conducted by PAS and the co-operating university and departmental research institutes, on the basis of plans co-ordinated by the Academy. The legal framework and financial foundations for these activities are provided by the Resolutions on the development and conduct of polar research adopted periodically by the Council of Ministers. 31 I n the recent Resolution 111/86, adopted on July 28,1986 "in order to safequard the political, economic, scientific and research interests in polar regions," the 30

B. A. Boczek , The Soviet Union and the Antarctic Regime (note 27). Resolutions N o . 246/76 of 7.12.1976, N o . 173/77 of 29.11.1977, N o . 46/82 of 5.03.1982 and N o . 111/86 of 28.07.1986. W i t h the exception of the first, concerning exclusively research activities in Antarctica, the remaining Resolutions deal w i t h general organizational and financial implications of polar research in both — the Arctic and Antarctic — regions. 31

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Council of Ministers has authorized PAS " t o conduct and co-ordinate polar research, as well as to organize and co-ordinate polar scientific expeditions to the Antarctic and Arctic regions" in co-operation with the departments concerned. To perform these duties, the Committee on Polar Research, functioning with the Presidium of PAS, was established in 1978. The Committee was reorganized in 1981, when a Secretariat for Polar Research, was established as an executive body, and three PAS Institutes: of Ecology, of Geophysics and Oceanology were charged with the organization of future polar research. The Committee's specialized commissions were charged with determining of the goals and tasks of polar investigations carried out by the various co-operating research centres. 32 In the consecutive Resolutions, the Council of Ministers has defined the following areas and goals of polar research: 1. biological resource systems as useful sources of food, fodder and raw material; 2. studies of geophysical processes and geological structures w i t h the aim of surveying the resources of polar environments; 3. hydrological and meteorological studies for the purpose of environmental research and economic activity; 4. the adaptation of human organisms to life and work under polar conditions.

The executive decisions on the policy laid down for polar research by the Council of Ministers are contained in the Governmental Inter-departmental Research Projects and in the Central Plans of Polar Research. 33 The Inter-departmental Programme for Research on Marine and Land Polar Regions as a Foundation for Rational Utilization of Resources and Protection of Environment has outlined plans for investigation in three main areas: biology, earth sciences and oceanography. 34 W i t h respect to Antarctica, the main goals set by the Programme are as follows: 1. setting up scientific foundations for Poland's activities in Antarctica; 2. establishing how biomass is distributed and what the productivity conditions and other ecological features of living organisms in the Antarctic region are, w i t h the aim of finding out how the living resources of the Southern Ocean can be exploited in order to gain food and fodder;

32 The Committee on Polar Research PAS was founded in 1978 by the Resolution N o . 3/ 78 adopted by the Presidium of PAS on 17.03.1978 and was reorganized by the Decision of the PAS Scientific Secretary of 2.09.1981 and again by the Resolution N o . 15/90 adopted by the Presidium of PAS on 19.06.1990 when its composition was changed and the number of members increased to 47. 33 The Governmental Inter-departmental Research Projects M R 11.16 (1976-1980) and M R 1.29 (1981-1986) and Central Plan of Polar Research CPBP 03.03 which is actually coordinated by the Institute of Geophysics PAS. 34 For a detailed account see, The State and Prospects of Polish Polar Research, in: Acta Academiae Scientiarum Polonae , 3/4 (1984), 99-115.

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Jacek Machowski 3. studying the dynamic processes and establishing what the structures and links between global processes in atmosphere and oceans are, as well as the links w i t h the evolution of the lithosphere, the origin of deposits and accumulation of sediments; 4. studying and forecasting the exploration and exploitation of useful mineral deposits.

The costs of polar scientific activities are covered by virtue of general rules governing the financing of research projects included in the Central Programme of Pure Science Research and form part of the PAS budget. 35 T h i r t y years have passed since the first Polish Antarctic Expedition landed at Bunger Hills, East Antarctica, to open the Dobrowolski Station. 36 Despite a promising beginning, regular scientific research at the Dobrowolski Station was not resumed until the Austral Summer of 1978 through 1979, when the second expedition sponsored by PAS was organized to Bunger H i l l s . 3 7 Because of the difficult access and unavoidably high expenses, research work at Dobrowolski Station was resumed only once during the 1978/1979 season. After the successful reconnaissance in East Antarctica during the 1958/1959 Austral Summer season, a long intermission in Poland's scientific activities in Antarctica occurred due to the withdrawal of governmental credits. But, Polish explorers did not cease their work and participated during the years 1965-1974 in Soviet and American expeditions to Antarctica, conducting geophysical and biological research there, acquiring knowledge and experience, which turned out to be most useful in the following years, when Poland resumed its scientific activities in the southern polar region. A t present, the Dobrowolski Station on the continent is temporarily closed and the main Polish scientific activities in Antarctica centre around the Antarctic Peninsula sector, where the new permanent Arctowski Station was opened on February 26, 1977 at Admiralty Bay on King George Island, South Shetland Islands. This all-year-round scientific station is now the site of continuous oceanic and land biological studies, as well as research in earth sciences, including geophysics, meteorology, geology, paleontology etc. In 1991, the Fifteenth Polish Antarctic Expedition spent the winter at the Arctowski Station. 35

The Annex to N o . 111/86 adopted on 28.07.1986 by the Council of Ministers contains the budget estimates of expenses on polar expeditions and stations in 1986-1990; see also Executive Decisions of the PAS Scientific Secretary N o . 31/79 of 27.05.1979 and N o . 49/81 of 2.09.1981 on the organization and financing of polar expeditions and research, also Order of the Council of Ministers N o . R M 10-57-86 of 28.07.1986 on the rules of remuneration and privileges of persons participating in polar expeditions conducted and organized by PAS. 36 For detailed accounts of the last three decades of Polish scientific activities in Antarctica see: 30 years of Polish Antarctic Research, in: Polish Polar Research 4 (1988), Special Issue; Achievements and Perspectives of Polish Polar Research (note 29), containing proceedings of X V I Polar Symposium held at Τοπαή in 1989 on the 30th anniversary of Polish research in Antarctica. 37 W. K. Krzemmski and E. Wisniewski , The Polish Expedition to the A . B. Dobrowolski Station on the Antarctic Continent in 1978/1979, in: Polish Polar Research 6/3 (1985), 377384.

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Moreover, marine-biological Antarctic expeditions, organized jointly by the Marine Fisheries Institute in Gdynia and the Institute of Ecology PAS since 1974 (since 1980 within the BIOMASS programme), and geodynamic expeditions organized by the Institute of Geophysics PAS since 1979 to West Antarctica, have significantly contributed to scientific knowledge of that region, particularly in the fields of oceanobiology, solid earth geophysics, geology and paleontology. In Antarctica, the only continent on earth without frontiers, without passport and visa requirements, international co-operation assumed unprecedented shape and magnificent proportions. This co-operation is particularly striking in the field of science and research, where it has developed not only at governmental and nongovernmental levels, but primarily in direct personal relations, in the form of a broad exchange of scientific personnel between the stations and expeditions operating in Antarctica, as stipulated in Article I I I of the Antarctic Treaty. That kind of partnership, developing in an extremely inhospitable environment, praised in numerous Consultative Meetings' recommendations, represents a new type of international collaboration, contributing to the formation of the modern international community, based on universal values reflected in the Charter of the United Nations and the Antarctic Treaty. Polish institutions and individuals have been participating in that international exchange at all levels since the early days of Antarctic exploration, not only gaining from it, but also significantly contributing to it. The Committee on Polar Research PAS represents Polish science in international relations on all matters of polar exploration and is advising the Ministry of Foreign Affairs on these problems. Members of the Committee participate in diplomatic conferences and international scientific meetings. The Committee publises Polish Polar Research , a quarterly issued in English, with Polish and Russian summaries of articles presenting Poland's achievements in polar exploration. Due to its scientific activities in Antarctica, Poland has acquired the right to join various international organizations concerned with polar exploration. The most important amongst them is the Scientific Committee on Antarctic Research (SCAR), which Poland joined on May 22, 1978. As mentioned earlier, when applying for Consultative Party Status, Poland was advised to seek SCAR membership as a prelude to that status. In 1976, Poland was granted observer status at SCAR, in view of the details it provided of its marine research programme and indicating an intention to build a land station in Antarctica. SCAR then decided that the establishment of a winter station was not a pre-requisite, and that a continuing marine science programme — like that presented by Poland — constituted sufficient grounds for membership. 38 By the time its formal applica38 Report of the Meeting of Delegates (October of 1976), X I V — SCAR — 30 (Revised), in: 368 SCAR Circular (3 December 1976).

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tion was lodged, Poland had established a permanent Antarctic scientific station on King George Island. 39 W i t h i n SCAR, Poland is represented by the Chairman of the Polish National SCAR Committee (the Chairman of the Committee on Polar Research PAS) affiliated w i t h the Presidium of PAS. A group of Polish scientists and polar explorers makes a continuous and substantial contribution, serving as members of the specialized SCAR working groups. Polish scientists are participating not only in the meetings of the various bodies, seminars and symposia organized by SCAR; but also in most major international research projects sponsored and co-ordinated by the Committee, such as the Biological Investigation of Marine Antarctic Systems and Stocks (BIOMASS) and its two experiments: FIBEX (1980-1981) and SIBEX (1983-1989). O n the basis of an agreement signed on October 24,1980 between the Institute of Ecology PAS and the Sea Fisheries Institute in Gdynia, a series of expeditions to Antarctica was organized on board the research vessel Profesor Siedlecki with the purpose of participating in the international BIOMASS-FIBEX programme. The expeditions were financed by PAS, while a research programme was included in the co-ordination plan MR-I-29A on the biological polar investigations for 1981-1985 and to be performed by the following eight teams: 1. hydroacoustics, 2. oceanography, 3. organic chemistry and microbiology, 4. plankton, 5. krill biology, 6. ichthyology, 7. ornithology and 8. computation of data. Altogether 650 standard observations were made. 40 The subsequent Polish expeditions in Antarctica carried out part of the international programme planned for three summer seasons 1983-1987 on board of r/v Profesor Siedlecki in the area of Bransfield Strait east of Anvers Island and in the Drake Passage along the northern side of the South Shetland Islands. 41 Antarctic research, work which was initiated by PAS in the years 1975/76, was resumed in 1980/81 within the FIBEX project and continued in 1983/84 within the SIBEX project, on board of r/v Profesor Siedlecki during austral summers and autumns. The expedition BIOMASS I I I for the first time in the experience of Polish expeditions began operation in the early austral spring 1986 and continued through austral summer 1987. The second part of the cruise from January 2-20, 39

386 S C A R Circular (15 December 1977). Report on the r/v Profesor Siedlecki expedition to the Antarctic in 1981 during the international B I O M A S S - F I B E X programme, in: Polish Polar Research (special issue on the 50th anniversary of Polish polar research) 3/3-4 (1982), 137-141. 41 S. Rakusa-Suszczewski / M. Lipski , Report on the r/v Profesor Siedlecki expedition to the Antarctic during the BIOMASS-SIBEX in 1983/1984, in: Polish Polar Research 6/1-2 (1985), 7-19; S. Rakusa-Suszczewski , Report on the Antarctic expedition of the r/v Profesor Siedlecki , B I O M A S S I I I 1986/1987, in: Polish Polar Research (Special issue: Oceanobiological coarse scale investigations in West Antarctic frontal areas BIOMASS I I I ) 9/2-3 (1988), 153-164. 40

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1987 included work (within subject group of the sub-problem C.P.B.P.03.03.A) carried out together with an American research team. A t present, Polish polar explorers are preparing intensively for their tion in the International Biosphere-Geosphere Programme "Global planned jointly by SCAR and I C S U for the Nineties and providing for investigations in Antarctica, comparable with those carried on during which became the foundation of the Antarctic Treaty System. 42

participaChange", extensive the I G Y ,

N o less important than the participation in multilateral international programmes, is the bilateral co-operation of Polish polar explorers with their colleagues from other countries, based on bilateral agreements, both governmental and non-governmental. O n this basis, a broad exchange between the Polish and foreign expeditions and stations in Antarctica is now taking place. As early as the Sixties, such co-operation was first established between Polish on the one hand, and Soviet-American polar explorers on the other. The result of the intensification of Polish activities in Antarctica was that co-operation gradually extended to other countries. Foreign scientists from the Soviet Union, United States, United Kingdom, France, Canada, New Zealand, South Africa, Germany, Argentina, Chile, Brazil, Spain, China and the Netherlands were received at the Arctowski Station. They worked together with Polish researchers, some of them even for several seasons. Extensive investigations were also conducted in co-operation w i t h the International Glaciological Society in Cambridge and the American Academy of Sciences. In bilateral co-operation with the Italian Istituto di Geochemica C N R , Polish geologists made several geochemical and radiometrical surveys of Antarctic rocks. During the N i n t h Polish Antarctic Expedition (1984-1986), close co-operation was established between the Arctowski Station and the Argentine Station Jubany, situated about 20 k m from the Polish base on King George Island. Frequent encounters and many discussions assumed the shape of a permanent scientific cooperation in the field of paleolimnology and ecological research on the genesis of Antarctic ornithogenic soils. That co-operation was based on the agreement signed earlier between the Institute of Ecology PAS and Instituto Antârtico Argentino, resulting in the organization of several Argentinian-Polish Antarctic expeditions since 1985, aimed at joint systematic investigations on the northern margin of the Antarctic Peninsula and on islands situated on its eastern coast in the Weddell Sea.43 Following an agreement between Instituto Antârtico Argentino and the PAS, a Joint Argentine-Polish party carried out geological research on Seymour Island during the period from January 13 to February 25, 1988. 44 42

Krzysztof Birkenmajer (note 29), 61-69. A. Myrcha I A. Tatur , Argentinian-Polish scientific co-operation in Antarctica (19841986), in: Polish Polar Research 7/4 (1986), 427-431. 43

44 Krzysztof Birkenmajer , Report on the Polish geological investigations in the Antarctic Peninsula sector, 1987-1988, in: Polish Polar Research (30 years of Polish Antarctic

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Equally close and permanent co-operation was established with other neighbouring stations, like the Soviet Bellingshausen Station, the Chilean Marsh and Chinese Great Wall bases, situated in the immediate vicinity of the Arctowski Station on King George Island. Projects involving Antarctic exploration, bringing effective material and logistic benefits are being developed w i t h Argentina, Brazil, the Netherlands and Spain. I n the 1987/88 austral summer season, Poland gave substantive logistic and material support in the establishment and construction of the first Spanish station in Antarctica on King George Island.

V. Poland's Policies on the Exploration and Exploitation of Antarctic Resources Although the Antarctic Treaty was primarily devised as a framework for scientific co-operation, gradually the system has increasingly been required to deal with difficult issues raised by other activities, particularly resource exploitation. This trend is clearly reflected in the contents of the Consultative Meetings' recommendations and in particular in the scope of the three conventions related to ATS. Although discussion of an arrangement for Antarctic minerals had begun earlier, the living resources issue proved to be far more urgent. Negotiations on a resource regime by the Consultative Parties to the Antarctic Treaty had one important precedent, namely the 1972 Convention for the Conservation of Antarctic Seals, which was regarded by many as a model of future agreements, related to the exploitation of Antarctic resources. U n t i l the emergence of the resource question, Polish interest in Antarctica was chiefly scientific. As a non-claimant nation, geographically distant from Antarctica and impoverished by war, Poland could not afford to embark upon expensive exploitation of the resources in the southern polar region, requiring costly investment. Therefore, the first Polish commercial venture in Antarctica was of a service character. In 1954, namely, the Polish tanker Karpaty supplied fuel for the Soviet whaling fleet Slava , operating in the Southern Ocean. Characteristically, that fact was raised to substantiate Poland's economic interest in Antarctica, when that country requested admission to the Antarctic Treaty negotiations in 1959. 45 Today, apart from the scientific interest discussed, Poland's economic interests in Antarctica include in the immediate future fishing, and, at a later date, the mineral resources exploitation. Experience in polar technology, gained first in the Research, Special Issue) 9/4 (1988), 505-519; M ê Doktor / A. Gazdzicki/S. A. Maremsi/S.J. Porebski / S. N. Santillana / Α. V. Vrba , Argentine-Polish geological investigations on Seymour (Marambio) Island, Antarctica 1988, ibid., 521-530. 45 Press Release (note 1).

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Arctic, is now successfully applied by Poland in Antarctica. Although Antarctic living and mineral resources do not play a large part in the Polish economy, which is concerned primarily w i t h closer European issues, Poland maintains constant interest in preserving its position in polar research, including that connected with the exploration and exploitation of Antarctic resources. A l l Polish economic and commercial endeavours embarked upon in Antarctica are, as a rule, based on solid scientific foundations and preceded by careful studies and investigations, taking into consideration ecological aspects. 1. Exploration and Exploitation

of Antarctic Living Resources

The enormous potential wealth of the Southern Ocean's fauna has for a long time attracted the fishing industries of many nations. Poland first entered the competition for commercial exploitation of Antarctic living resources in the Seventies, by engaging in fishing in the Southern Ocean waters and joining respective international instruments regulating these activities. 46 These actions soon turned out to be events which had a significant impact upon the formulation of the ATS proceedings. The hasty decision to admit Poland to Consultative Party status and to provide for new entrants in the future, was an innovation taken only a few months before the Consultative Meeting held in September 1974 on the urgent preparation of a suitable regime of effective measures for the conservation of marine living resources in the Treaty Area. 47 Thus, the admission of Poland, whose main economic interest in Antarctica lies in fishing and krill harvesting, was a necessary pre-condition to the subsequent agreement on the negotiation of a living resource régime. 48 Another relevant consideration was that the interest in krill accelerated in the 1976/77 season, both because of an increase in research efforts by nations already involved and through the entry of other nations, particularly Poland and the Federal Republic of Germany, which decided to begin large-scale krill research coupled with accession to Consultative Party status under the Antarctic Treaty. 49 I t became apparent that the size of the fishery in the Southern Ocean would tend to expand rapidly to its ultimate capacity. Thus, the size of the permissible yearly harvest was clearly a vital issue for the Antarctic living resource régime, in which Poland could play an important part. Apart from the unpredictable outcome of an uncontrolled harvest on the Antarctic ecosystem, such a rapid increase in fishing could easily constitute the world's largest catch and might even equal the total global haul for all species, shaking the world fishing industry and market. 46 47 48 49

See (notes 20 and 21). Consultative Meeting recommendation V I I I - 1 0 (1975). Auburn (note 2), 205-208. Ibid., 206.

6 GYIL 34

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Cut off from customary fishing grounds in the Northern Hemisphere by the introduction in the new law of the sea regarding Exclusive Economic Zones, Polish fishermen have been compelled to find alternative fishing areas in ocean spaces outside the jurisdiction of other nations, and the Southern Ocean was one such major area. For this reason, Poland strongly upheld the view that no exclusive fishing or similar zones or even territorial seas may be legally established off the Antarctic coasts, 50 when the issue emerged in the negotiations of the 1980 Convention on the Conservation of Antarctic Living Resources. As a non-claimant State, with interests in exploiting the living resources of the Antarctic seas, Poland has vigorously objected to any provision in the draft of the Convention that could be construed as recognizing the claimant States' exclusive rights, and it would not accept any reference to coastal State jurisdiction that might be interpreted as applying to the Convention as a whole. 51 Sharing with Japan and the Soviet Union some reservations about the binding nature of conservational measures during the interim period prior to the Convention's entry into force, Poland has endorsed the progressive ecosystem standard of management adopted under the 1980 Convention on the Conservation of Antarctic Living Resources. 52 Engaging in the exploitation of the Southern Oceans's living resources, Poland is combining Antarctic fishing with research, technology and marketing. Krill has been an attraction for Polish fishermen, more than any other species of Antarctic fauna. Special studies on fish, krill, cephalopods, as well as the ways and methods of processing them into protein were undertaken. These, and other investigations of the Antarctic marine living resources were carried on by numerous research expeditions organized jointly by PAS and the Sea Fisheries Institute in Gdynia. 53 This exploration of the Southern Ocean started in December 1973 and continued for several seasons.54 Some of that research was conducted in co-operation with other countries such as New Zealand in 1980/81. I t concentrated on environmental 50

Francisco Orrego Vicuna , The Law of the Sea and the Antarctic Treaty System: New Approaches to Offshore Jurisdiction, in: The Antarctic Legal Regime (note 2), 97-128. 51 James N. Barnes , The Emerging Convention on the Conservation of Antarctic Marine Living Resources: A n A t t e m p t to Meet the New Realities of Resource Exploitation in the Southern Ocean, in: Jonathan I. Charney (ed.), The New Nationalism and the Use of Common Spaces, Totowa, New Jersey 1982, 239-288 (253, 254). 52 Ibid., 252 and 264, also Boleslaw A. Boczek , The Protection of the Antarctic Ecosystem: A Study in International Environmental Law, in: Ocean Development and International Law 13 (1983), 347 and 375-377. 53

For the full list of Polish oceanograpical Antarctic expeditions 1974-1987 see Krzysztof Birkenmajer , A Quarter Century of International Cooperation in Antarctica (in Polish), in: Nauka Polska (Polish Science) 2 (1987), 63-85 (82-85). 5

(note

).

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studies, krill biology and hydroacoustic methods of fisheries. These studies enabled the Polish fleet to start in the Seventies fishing in the area of Kerguelen Islands and on the Scotia Sea in the Seventies, extending successively the area of operation to other parts of the Southern Ocean. 55 Systematic studies on population, the aim of which is continually to control the change in shoals of the fished species were continued. Periodic reports are prepared on the basis of continually accumulated data for fishing enterprises and the SCAR. According to them, the results of Poland's fishing activities in Antarctica in recent years were as follows: Total Antarctic Commercial Catch of Poland 56 (all species, all areas; in tonnes) 1977

17,054

1983

373

1978

64,016

1984

10,079

1979

37,486

1985

5,709

1980

19,673

1986

5,991

1981

18,139

1987

4,539

1982

8,324

1988

6,875

The submitted information and data include analyses of hauls and tentative evaluations of fish resources in the fisheries exploited. Some other studies were devoted to the issues of the technology of fishing and techniques of processing non-conventional marine resources, like krill, cephalopods and local Antarctic fish. Utilization of krill products was particularly and thoroughly investigated. Despite difficulties in how to organize and economize the exploitation of krill, as well as unexpected technical problems caused by the character of krill (high content of flourine in tests), considerable progress has been made in research on its utilization, carried out for several years by many institutes in Poland. 57 One year after the first oceanobiological expedition to the Southern Ocean, considerable amounts of fish caught in the area by the fishing fleet had become available on the Polish alimentary market. U n t i l 1982, Polish hauls in the Antarctic and sub-Antarctic waters reached a total of 300,000 tonnes of fish and several tens of thousands of tonnes of cephalopods. Antarctic fish, unknown 55 The exploitation of Antarctic marine resources is regulated in Poland by relevant Resolutions of the Council of Ministers N o . 5/77 of 7.01.1977 and N o . 71/79 of 11.05.1979 on the research programme, exploitation and processing of krill and other maritime organisms from the Antarctic region. 56 Reports on the Operation of the Antarctic Treaty System, Statement by C C A M L R , Paris 1989. 57 H. Ganowiak , Antarctic Studies of the Sea Fisheries Institute in Gdynia, in: Polish Polar Research 1/4 (1980), 247-249.

6*

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before by the Polish alimentary market, became gradually an ordinary article, the sale of which now passes unnoticed. Possibilities for the industrial utilization of Antarctic seals, especially the crabeater seal, the amount of which is estimated to be ca. 20,000,000 - 30,000,000 have been seriously considered in Poland. A n experts' report on the perspectives of catching them has been prepared, and methods of utilizing the carcasses of these animals have been elaborated in co-operation with the institutes of leather, fat and fodder industries. Due to financial restraints, however, that kind of exploitation of Antarctic living resources has not yet commenced in Poland. Antarctic fishing and hunting have stimulated research in Poland and inventions on the technology of utilization of raw materials acquired from the exploitation of polar marine living resources. I t is more than likely that Poland will continue to show interest in the living resources of the Southern Ocean.

2. Regulation of Antarctic Mineral Resource Activities The authors of the Antarctic Treaty, who concentrated primarily on political and scientific matters, have drafted this international instrument with the assumption that mineral resources of the area concerned are not likely to be exploited in the near future, despite the fact that scientists revealed that the sea-bed of the Southern Ocean and the Antarctic continent conceal valuable mineral deposits. Although no deposits have yet been found which can be economically exploited on the basis of current prices and technology, interest in Antarctic minerals, both on shore and offshore, has grown rapidly in recent years, culminating in the opening for signature in 1988 of the controversial Convention on the Regulation of Antarctic Mineral Resource Activities. 5 8 Concern for the environment has been a dominant feature of public opinion throughout the negotiation process and has overshadowed other aspects of the mineral resources regime. These developments determined Poland's interest in and position on the issue of the exploration and exploitation of Antarctic mineral resources. From the very beginning of their presence in Antarctica, Polish explorers have investigated the potential mineral riches of southern continent, both offshore and on land, and have outlined the prospects for the future utilization of the Antarctic resources for the benefit of the country's economy. W i t h this goal in mind, Polish scientists have developed several resource-oriented geological projects, carried into effect by consecutive Antarctic expeditions. 59 58

See (note 22). For a detailed account see Krzysztof Birkenmajer , Polish Geological Investigations in Antarctica (in Polish), in: Kosmos 2 (1983), 309-331; Earth sciences in Polish Polar Research (Fifty years of Polish Polar Research, 1932-1983), in: Acta Academiae Scientiarum Polonae 1 59

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Experts' reports on this subject, prepared by Polish polar explorers for the Government, indicate that Antarctic mineral resources could be explored and exploited by highly industrialized countries in a relatively short time. Polish investigations of the geological and geophysical structure of Western Antarctica include, among other practical aspects, locating mineral resources. The pragmatic value of the above activities can be reduced to the questions: What position does the conducted basic research occupy and what role does it play in the network of methods generally applied in surveying the Earth's natural resources? I t should be noted, that in case of Polish geological and geophysical investigations conducted in Antarctica, both the research methods and the level and scope of studies have been highly appraised, as fully conforming with the modern requirements of geophysics and prospecting geology. That appraisal enabled Poland to contribute to the political and economic decisions on the establishment of the Antarctic mineral resources regime. During the negotiations on the 1988 Antarctic mineral resources convention, initiated by the Consultative Parties in 1972, in which Poland actively participated, the results of Polish investigations often served as a basis for the assessment of the perspectives of mineral resources exploitation which, however, would require considerable outlays and the co-operation of industrial complexes. In signing the 1988 Antarctic mineral resources convention, Poland was guided by the deep conviction that this international instrument constituted, under the then prevailing conditions, the best legal regulation and protection of the Antarctic environment. Consequently, Poland has welcomed w i t h full understanding the concerns expressed by Australia and France, which in 1989 demanded adequate safeguards for the protection of the Antarctic environment against devastation. Hence, Poland attaches great importance to the strengthening of co-operation on this subject on the grounds of the letter and spirit of the Antarctic Treaty.

V I . Poland's Policies on the Preservation and Protection of the Antarctic Environment The protection and preservation of the fragile Antarctic ecosystems was the subject of only indirect concern of the authors for the 1959 Antarctic Treaty, but is a major priority of the Antarctic Consultative Parties, reflected in their numerous recommendations. 60 As a member of the Consultative Meetings, Poland appears as (1984), 71-87; Report on the Polish geological Investigations in the Antarctic Peninsula sector, 1987-1988, in: Polish Polar Research 9/4 (1988), 505-519; Report on the Polish Geological investigations in the Antarctic Peninsula sector, West Antarctica, in 1984-1985, in: K. Birkenmajer (ed.), Studia Geologica Polonica X C I I I (1987), (Geological Results of the Polish Antarctic Expeditions, Pt. V I I ) , 113-122. 60 Boczek , (note 27), 347-377.

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an ecologically-minded custodian of the Antarctic environment. The vulnerability of the Antarctic ecology is not only strongly stressed in Polish scientific and legal literature, 61 but also emphasized in various governmental and non-governmental resolutions, 62 as well as expressed in the position taken by Poland's representatives in various international fora. I n his opening statement, Ambassador Janusz Mickiewicz , Head of the Polish delegation to the X V Antarctic Treaty Consultative Meeting in October 1989 in Paris, declared: " I wish to emphasize that in the opinion of the Polish delegation priority should be given to the protection of the Antarctic environment. Unfortunately, even small changes in the Antarctic environment could generate painful repercussions for the whole planet. Nevertheless, legal instruments in force under the Antarctic Treaty System should not be weakened, including the rights of [SJtates engaged in research or harvesting activities with due regard for the provisions of the Convention on the Conservation of Antarctic Marine Living Resources. We hope that this entire problem will be solved in a realistic and satisfactory manner." 63 As a party to all ATS insruments, including the Agreed Measures for the Conservation of Antarctic Flora and Fauna 64 Poland remains a strong advocate of strict responsibility in their observance. As to the controversial issue of Antarctic mineral resources, Poland was throughout the negotiations of the 1988 Wellington Convention, most sympathetic to conservation and environmental assessment, supporting the idea of the moratorium on their exploitation. The negotiating parties of the mineral resources convention were aware that the credibility of the ATS will depend to a great extent on the degree to which the Consultative Parties fulfill their assumed responsibility to evaluate the environmental impact of the various Antarctic ventures and activities. Thus, the impact assessment for informed decision-making became one of the routine functions in the process of any exploration and exploitation regime. National attempts and environmental impact assessment of Antarctic international instruments raise serious problems. 65 The preservation of the sensitive Antarctic ecosystem has always been a major concern and a matter of priority in Poland's activities in Antarctica. That policy is 61

Machowski (note 24), 59, 64; Krystyna Wiewiôrowska , Legal implications of the exploration and exploitation of Antarctica, in: Polish Polar Research 3 (1982), 105, 106; Birkenmajer (note 29). 62 The Cabinet passed on 29.11.1977 Resolution N o . 173/77 on the realization of the Interdepartmental Problem MR-II-16 on the complex research in the Antarctic and Arctic "as a basis for protection and knowledge of their natural habitat", co-ordinated by the Institute of Ecology, PAS, for biological, medical and Earth studies. 63 Republic of France, Final Report of the Fifteenth Antarctic Treaty Consultative Meeting, Paris, 9-20 October, 1989, Part IV, Annexes (A) Opening addresses, 162. 64 Consultative Meeting recommendation I I I - V I I I (1964). 65

Auburn (note 2), 283-289.

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expressed in strict observance of the relevant ATS regulations, in particular of the detailed measures provided by the Consultative Meetings recommendations. 66 A t the same time, Poland is contributing to the developments of these legal regulations, submitting relevant proposals at various international fora. Antarctica is the only continent considered as a whole a Special Conservation Area, and for the 30 years of the Treaty performance the predominant activity there has been scientific research directly for safeguarding the Antarctic environment. O n this occasion, it may be worthwhile to recall the proposal submitted during the mineral resources negotiations by Professor Krzysztof Birkenmajer , a Polish representative for the Contact Group on the Antarctic Environment, who has suggested widening the protected area of that part of the world through a considerable extension of the SPA system on a number of Antarctic islands and archipelagos. H e pointed out, that the South Shetlands (where the Polish Antarctic Station is located) amongst others could be transformed into a World Park. The numerous scientific stations situated there could take over an effective protection of the local fauna and flora, while any exploitation of either living or mineral resources would be prohibited. That informal proposal was favourably received by many members of the group, especially experts in biological and geological sciences, but was not taken up by official delegations in the plenary meeting, probably because of the objections on the part of countries which were advancing territorial claims to the archipelagos. 67 Sharing the view that the problem of preservation and protection of the Antarctic environment ought to be the subject of broadest international cooperation, Poland, like other Consultative Parties, has resisted interference by the United Nations Environment Programme (UNEP) and other environmentallyoriented organizations in Antarctic ecological affairs. 68 O n the other hand, unlike most other parties, it joined the minority view, on blocking environmental nongovernmental organizations such as the Antarctic and Southern Ocean Coalition (ASOC) and the International Union for the Conservation of Nature and Natural Resources from attending sessions of the conference that drafted the 1980 Convention on Marine Living Resources. Under its signature to the Final Act of the conference, the Polish representative, together with the Soviet and East German representatives, lodged caveats reserving Poland's position on other international organizations. That reservation was mainly referred to in the discussion on the participation by the European Economic Community (EEC) in the conference. 69 66

Consultative Meeting recommendations I I I - I X (1964), I I I - X (1964), IV-18 (1966), IV19 (1966), IV-20 (1966), VI-9 (1970), V I I - 2 (1972) and V I I I - 2 (1975). 67 Birkenmajer (note 53), 81; Machowski (note 24), 61. 68 Auburn (note 2), 123, 124. 69 B. Mitchell , The Southern Ocean in the 1980s, in: Ocean Yearbook 3 (1982), 349, at 371, and Barnes (note 51), 254, 255.

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Nonetheless, Poland has strongly emphasized the importance of the environmental approach throughout all negotiations of the various international instruments on Antarctica, considering that impact assessment is the acid test of the Treaty Parties' protection of the Antarctic environment. I t should be noted, however, that there has been a controversy over the extra-territorial reach of domestic legislation and whether it binds foreign individuals and agencies of the third States. I n this regard, Poland's record was marked by a policy of adherence to and observance of all regulations providing for the protection of the Antarctic environment. So far, no evidence of a serious violation of any environmental regulations by Poland has been recorded, except perhaps by informal objections raised by some writers, pointing out the location of the Polish Arctowski Station which is in the close vicinity of a Specially Protected Area (SPA). That fact, however, can hardly be considered as an open violation of any conservation regulation. In examining Poland's responsibility in this respect, and the current impact on the Antarctic environment of its activities there, it is necessary first to limit discussion to that small portion of land and sea, where there has been some measure of permanence and continuity of presence, that is to say, to the Polish Arctowski Station. N e x t it is necessary to analyse the relevant Polish laws and regulations, aimed at preserving of the Antarctic environment. There can be no doubt that the location of any scientific station is an essential factor in local impacts on the Antarctic environment. N o wonder, therefore, that the issue has raised doubts and concern on many occasions. In the case of Poland's Arctowski Station opened in 1977, it was indicated to be "precariously close" to an exceptional assemblage of birds and mammals. 70 I t should be noted, however, that the station was founded two years before the Consultative Meeting designated this area a few hundred yards away as a Site of Special Scientific Interest (SSSI). 71 I n the view expressed by F. M. Auburn: "Choice of the station site has been criticized as being too near to one of the few known three-species penguin rookeries and a large population of crab-eater seals, and it has been pointed out that the base will serve as an additional tourist attraction. This SSSI is a particular cause for concern, and it would seem to have been an obvious instance for the proclamation of an SPA. Designation as an SSSI is for the purposes of scientific research, and expires in 1985. I t could be an indication that the Consultative Parties do not wish to create any more SPA's but rather will give biological sites the much reduced and temporary protection of SSSI status. The building of a base so close to this exceptional fauna assembly, followed by the SSSI proposal, suggests

70 Auburn (note 2), 269, 276, 277, 288; also B. C. Parker , Introduction and Historical Background, in: B. C Parker (ed.), Environmental Impact in Antarctica, 1978, 1, at 3. 71

Consultative Meeting recommendation X-5 (1979).

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that ecological considerations have been subordinated to Poland's requirement for a convenient station site." 7 2 The problem of the location of the Polish Arctowski Station is only one of the many examples causing anxiety about threats to the Antarctic environment. I t is of little comfort to learn that the local impact at other nation's stations is even more deterimental. I n this situation, both the Polish authorities responsible for Antarctic policies and activities, as well as individual explorers have taken special precautions aimed at the preservation and protection of the Antarctic environment. Poland has approved and is strictly abiding by all relevant recommendations of the Consultative Meetings, including the fundamental Agreed Measures for the Conservation of Antarctic Fauna and Flora of 1964, frequently praised as one of the most comprehensive and successful international instruments for wildlife conservation which has been negotiated to date. Bearing in mind that, once an Antarctic base is built, ecological dangers and risks are inevitable, Poland's activities in Antarctica tend towards their limitation and minimalization. To this end, the Arctowski Station was equipped with modern installations, such as water-supply and sewage systems, and a purification plant and refuse dumping system. The 1000 m 3 capacity fuel container was furnished with a double security cover, preventing oil leakage even in the case of the total destruction of the main tank. Thus, it may be stated, that Poland's policies toward Antarctica and its activities there are ecologically-minded in the sphere of both law-making and exploration.

V I I . Perspectives on Poland's Policies toward Antarctica The prospects of Poland's presence in Antarctica in the future should be evaluated in the light of its past activities and achievements there, and the perspectives of the deep political and economic changes in the post-communist country. The fundamental changes in foreign policy, 7 3 the transition from a 72

Auburn (note 2), 277. The first non-Communist Polish post-war Prime Minister Tadeusz Mazowiecki made the following statement in the parliament: " . . . international relations based on sovereignty and partnership are more stable than the order based on domination and power. During the last 45 years Poland's position was determinded to great extent by tensions and conflicts in world policy. Today, when the Cold War period is about to end, a chance for the fulfilment of our national aspirations in compatibility w i t h the actual trends in world policy is arising. Poland wishes to co-operate in the creation of new Europe and to surmount the post-war divisions in the world, which today are entirely anachronic . . . The supreme goals of State's foreign policy remain important in all circumstances no matter what political orientation is at the helm of the Government. . . . The Government under my leadership will respect the 73

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centrally planned to a free market economy, the formal and material extension of academic liberties, including the freedom of scientific research, have opened new opportunities and created conditions conducive to the intensification of Poland's activities in Antarctica. O n the other hand, the deepening economic crisis and recession financially and materially restrain the polar expeditions and scientific stations, the importance of which is receding into the background on the list of scientific priorities. Nonetheless, the general trend indicates that in the future, like today and in the past, Poland's policies toward Antarctica will be inseparably related to the Antarctic Treaty. That will mean continuous compliance with its provisions and active participation in the Consultative Meetings and other ATS bodies, and last but not least, contribution towards the preservation of the existing Antarctic regime beyond 1991. 74 To surmount these limitations and difficulties, important improvements of the organizational and financial framework of Poland's Antarctic activities have been outlined. They provide among others for the foundation of a Centre of Polar Research at PAS, under the auspices of the existing Committee on Polar Research. 75 This new research unit would be located in Warsaw, staffed by 30-40 researchers and comprise three departments of: 1. polar ecology and medicine, 2. earth sciences and 3. legal and political problems of polar regions. A n Institute of Polar Research, w i t h a logistic unit, archives, museum and a publishing section would be connected with the Centre. The construction of a research vessel adapted for polar navigation was also provided for in the said proposal, the realization of which is the subject of protracted considerations, delayed largely by the shortage of financial means. Consequently, in the future as in the past, Poland's priorities in Antarctic research will be assessed and selected within the context of the country's economic needs on the one hand, and of trends in world science on the other. Two areas of Antarctic research are closely related to Poland's economy, namely the utilization of living resources and the exploration of mineral deposits. Both should be carried on w i t h regard to the requirements of the preservation and protection of the Antarctic environment. Taking into consideration major trends in world science, in order to carry on the investigations undertaken in Antarctica three decades ago, the Committee on international treaties binding Poland and w i l l meet the obligations provided therein My Government wishes to shape its relations of alliance w i t h the Soviet Union on the principle of equality and respect of sovereignty." The government daily Rzeczpospolita of September 13, 1989. 74

S. N. K. Blay / R. W. Piotrowicz / B. M. Tsamenyi , Antarctica after 1991: The Legal and Policy Options, Antarctic and Southern Oceans Law and Policy, Occasional Paper 2, University of Tasmania, Hobart 1989, 13-19. 75 See (note 34), 114, 115.

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Polar Research PAS is planning to concentrate Antarctic investigation from 19911995 in two basic areas which are: the geodynamic of the lithosphere and polar oceanobiology. Both of these topics are reciprocally linked with crucial economic and political problems of the Antarctic regime and require close international cooperation. The geodynamics of the Antarctic lithosphere investigations are an integral part of the International Lithosphere Project carried out under the auspices of the International Union of Geological Sciences and the International Union of Geodesy and Geophysics. Investigations in polar oceanobiology, which became a Polish speciality as a result of participation since 1980 in the international BIOMASS project, will be continued in the future in co-operation with SCAR and SCOR (Scientific Committee on Ocean Research). But, in the forthcoming decade, Polish investigations in Antarctica will also concentrate on topics included within the new world-wide I C S U research project, known as the International Geosphere-Biosphere Programme "Global Change". 76

V I I I . Conclusion Although it is not yet certain what the legal status of Antarctica will be after 1991, 77 Poland has always been — and no doubt will remain — among those Consultative Parties which are consistently striving to strengthen the Antarctic regime based upon the 1959 Washington Treaty. The transformation of the Antarctic question from an East-West conflict into a North-South controversy, its shifting from the exclusive "Antarctic club" into the public United Nations forum, combined with the recent deep political changes in Eastern Europe, mean a serious challenge to Poland's policies toward Antarctica. A t the same time, these events and the fundamental changes in Poland's foreign policy, 7 8 its international standing and its economy open a new position and new opportunities for Poland in the southern polar frontier, promising a continued and beneficial presence in Antarctica. 76

Birkenmajer (note 29), 67, 68. See (note 74). 78 Only few days after the Prime Minister's speech (note 73) the Polish Foreign Minister substantiated the principles of the new foreign policy in following words: " U n t i l recently the rôle of the ideological factor in international relations, at any rate among many States, has been considerable. N o w , the rôle is greatly reduced and the present Polish Government welcomes this development. We shall strive for the total elimination of ideology from interstate relations which does not mean that we reject international morality. Ideology and morality are different things. Morality and respect for the human person remain our highest values. I am convinced that the present reform movement in Poland is a good sign for the world." Statement by H . E . Prof. Krzysztof Skubiszewski , Minister for Foreign Affairs, Head of the Delegation of the Polish People's Republic at the 44th session of the General Assembly of the United Nations, New York, 25 September 1989 (mimeographed). 77

Sweden's Baltic Boundaries By Hugo Tiberg

I. Introduction Cast out in the middle of the Baltic Sea, at a roughly equal distance between the Swedish mainland and the Estonian island of Dago and some thirty nautical miles south of Finland's Aland islands, two solitary rocks can be seen jutting out of the water some one hundred metres apart. N o more than twenty or thirty metres across, these barren islets show no signs of vegetation but harbour an enormous colony of seagulls, whose marks stain the gray granite a mottled white, washed clean at scattered intervals when stormy breakers flood the bird sanctuary, restoring the original grayness of the naked rock. The southern-most of these islets is dominated by an oversized lighthouse, firmly anchored in the solid rock and towering over the little archipelago. I n quiet weather, a small notch on the northern side of the islet allows maintenance landings to be made by a small launch or rubber boat. N o land is visible from the islets, save another small rock about a mile to the north-east. This is all there is of the Bogskär islets, whose projected fishing and shelf zones have long been a bone of contention in Finnish-Swedish maritime relations and represent the only remaining border problem of importance in the Baltic sea area today. Yet the Bogskär dispute is only one of a series of developments which have marked the evolution towards a final division of the Baltic Sea into national spheres of interest. The development has been preceded by a series of rapid transformations in the international law of the sea.

1. The Traditional

Régime of the Seas

Maritime boundaries are still formally determined by the two 1958 Geneva Conventions on the Territorial Sea and the Contiguous Zone (CTS) and on the Continental Shelf (CCS), while the two other simultaneous sea conventions have no bearing on the matter. The Territorial Sea Convention is based on Grotius' ancient principle that the sea is free outside of narrow territorial limits allowed to coastal States for defense and other purposes. A time-honoured formula for the breadth of the territorial sea was the shooting range of a cannon, but this elastic

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concept was frozen early into set limits of three miles in most west European countries, four miles in Scandinavia, six in some Mediterranean countries and twelve in imperial Russia. A l l these were accepted in the Territorial Sea Convention, although 12 miles was the outer limit for the Territorial Sea and Contiguous Zone for those who claim that. In the Baltic Sea, at the time of the Geneva Conventions, Sweden claimed a four mile sea limit as did Finland, except around the Bogskär islets, where it claimed only three miles. The Soviet Union maintained 12 miles, which was later adopted by Poland and the German Democratic Republic, while the Federal Republic of Germany and Denmark claimed only three miles. N o country in the Baltic maintained a contiguous zone. 2. Extensions Extensions were, however, taking place in State practice. As early as 1945 President Truman had made two proclamations which set off the race towards greater sea areas, especially in South America. The Truman proclamations themselves were not in clear conflict with recognized principles of international law. The first declared jurisdiction and control of the subsoil and seabed of the continental shelf off the United States, then scarcely a recognized object of international law. The second proclamation declared an intention to extend US jurisdiction over the waters above the shelf, but only through negotiations and treaties w i t h neighbouring nations. Nevertheless, the Truman proclamations were the starting point for a great extension of sea areas which was to break the bounds of known international law. Soon after the proclamations, Mexico made extensive claims to the shelf around its coasts, as did, then, Argentina, Panama, Chile, Guatemala, Peru, the Dominican Republic, Costa Rica and a large number of other countries.Demands were greatly extended, generally to sovereignty claims not only over the shelf but also over the "epicontinental sea" above it, and in some instances to a 200 mile breadth irrespective of any continental shelf outside the claiming coastal State. One early claimant of new rights was Iceland, which declared first a 12 mile fishing limit, and then 50 and finally 200 miles. Iceland's claims were refuted by Great Britain, resulting in a dispute known as the "cod war", but eventually Iceland prevailed. A more moderate extension was the recognition of long straight lines as bases for the territorial sea boundary. This was brought to the fore in the celebrated Anglo-Norwegian Fisheries Case, in which Norway's claim to that large fjord south of the Lofoten islands, Ofoten, was recognized, as well as her more debatable claim to an extensive area of receding coastline north of Lofoten, known as Lopphavet.

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The notion of the continental shelf and the straight baseline system had already found recognition in the 1958 Geneva Conventions. But other extensions were on the way and attaining recognition during the U N C L O S conference. The eventual outcome of the U N C L O S negotiations was the 1962 Convention (hereinafter U N C L O S ) , whose principles, as far as the drawing of boundaries is concerned, have received general recognition as expressing a consensus of nations.Having met strenuous opposition in other respects, however, the Convention has not yet come into force. The Convention's most important extension of boundaries are no doubt the rules on Exclusive Economic Zones (EEZ), including Fishing Zones. Another innovation with a bearing on the drawing of Baltic boundaries is the new notion of transit passage. Before proceeding to these issues we must shortly touch upon the bases for the drawing of any maritime boundaries, namely the baselines along the coast. Examples will be from Sweden, where this author is familiar with the issues, although some descriptions will be based on the previous four mile limits, where the effects of baseline variations were more readily apparent than under the present 12 mile limit. 3. Baselines Baselines are lines along the coast upon which other limits are based, and which therefore have a fundamental importance for the limitation of various maritime zones. But they are not necessarily decisive in every respect. Firstly, some offshore points ("base points") which are not recognized for the purpose of drawing baselines, may nevertheless be recognized as entitled to a zone of some kind. As we shall see, this is true especially of so-called low tide elevations. Secondly, a baseline acknowledged for the purpose of drawing a territorial boundary may not always be recognized for the purpose of drawing fishing boundaries or boundaries of economic zones. Thirdly, while baselines are generally relied upon for drawing boundaries in the sea, the question becomes more complicated when competing claims for the same waters are being raised by foreign nations against the same waters. Baselines also have the function of dividing interior, sovereign waters from the territorial sea where foreign shipping is entitled to innocent passage. A natural point of departure is, therefore, to draw the line in such a way that passing alien shipping does not, as a rule, have any cause to be inside, and that the inside waters are the natural theatre for local shipping and vessels visiting the coastal State. Professor Gihl 1 has expressed this by saying that the line should follow the "coast", which is taken to include archipelagoes fringing the coast. Although in some 1

G i h l in appendix 2 to S O U 1965, 1753 f.

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respects international law has departed from that principle, the main rules for drawing baselines are derived from it. a) Low Water Coastline Under both CTS A r t . 3 and U N C L O S A r t . 5 the normal baseline is the low water line along the coast, as marked on the coastal State's official large scale charts, which means charts with a small reduction in natural size. " L o w water" refers to tidal conditions, like "low tide" in other articles. 2 Tide, where it occurs, can cause considerable variations, e.g. on the German N o r t h Sea Wattenland coast, where there may be daily variations of several kilometres. " L o w tide", however, does not encompass the lowest state of the water at spring tide, rather normal ebb tide. However, in the Baltic Sea tidal variations are inconsiderable, and variations caused by metereological circumstances are much more important. As the nearest counterpart to tidal low water, Sweden has chosen the "low water level", as being a level between "normal low water" and the "lowest level observed". O n the Swedish coast, a baseline drawn according to these principles usually results in a curved territorial boundary parallel to an equally curved coast line. Such baselines are to be found on the north-eastern coast of Gotland and on the south and east coasts of Skâne. A number of circumstances affect the low water coastline, however. In areas where the coast is exposed to changes because of a river delta or other such natural conditions, a new rule 3 now enables the coastal State to select base points along the furthest seaward extent of the low water line and to draw straight base lines to these points. In Sweden most such changes are negative in the sense of the sea eroding the land, 4 in which case the rule does not apply. O n the other hand, extensions by artificial harbour works are recognized as being part of the coast, as long as they are connected to the mainland and are not separate artificial islands.5 A n example of such an extension caused by harbour works is the boundary off the port of Limhamn, south of Malmö. Since large parts of Sweden are permanently rising out of the water — in the northern Baltic by about one metre per 100 years — there is a need for periodical revision of the Swedish baselines, whether coastal or point-based. The Swedish Baseline Committee 6 has recommended such a revision every thirty years. These 2

See C T S art. 4 (3) and U N C L O S art. 13 of "low tide elevations", while the rule of baselines in estuaries has been changed to "low-water line" in U N C L O S art. 9. 3

U N C L O S art. 7 (2). A noted such place is Falsterborev south of Malmö, where protective measures are taken to stop the continued sea erosion. 4

5 6

C T S art. 8 and U N C L O S art. 11. Baslinjeutredningen, S O U 1965, 1, 36.

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revisions neither have nor require any particular support in the applicable conventions. b) Bays and Estuaries Where marked indentations occur in the coastline, the coastal State may draw straight baselines with a maximum length of 24 miles across the mouth of such "bays", provided the enclosed area is at least the size of a semicircle with the mouth as its diameter. 7 Islands at the mouth decrease the size requirement further. Sweden has some such bays on the west coast but none in the Baltic. The Hanö bay, between Skâne and Blekinge, does not fulfil the requirements for a straight baseline. Where a river flows straight into the sea, the baseline may be drawn across the mouth of its estuary without any size requirement in relation to the estuarine waters. 8 c) Straight Baselines to Outlying Points Since at least the middle of the eighteenth century, Sweden's maritime boundary has been measured from the outermost land of our archipelagoes. The exact method of drawing the line is not clear and may have been from selected far-out rocks or by a freehand drawing of the archipelagic contour. 9 I n any case, the method of drawing straight baselines between the outermost land points "which are not always submerged by water" gradually developed. By drawing long such lines, it was possible to include substantial areas in our interior waters. I n the Anglo-Norwegian Fisheries decision of 1951, 10 the International Court of Justice upheld a Norwegian Royal Resolution from 1935, due to which a 44 mile baseline was drawn across the so-called Lopphavet from islets outside Tromsö and Hammerfest and a 45.5 mile baseline was drawn across Ofoten near Narvik. The Court did not limit the length of the baselines by any particular formula, stressing only that the lines might not significantly depart from the general configuration of the coast and that the waters inside must be sufficiently closely linked to the land domain to be subject to the regime of interior waters. The principles have been accepted both in CTS and U N C L O S 1 1 with the further precision that they apply to coastlines which are deeply indented and cut into, and such as have a fringe of 7

C T S art. 7, U N C L O S art. 10. C T S art. 13, U N C L O S art. 9. 9 S O U 1965,1, 20 mentions a Royal Letter from 1758 which is construed as defining the national boundary on the basis of lines between the archipelago's outermost islands and skerries, but Gihl makes no such assumption, 66. 10 International Court of Justice Reports (1951), 130. 8

11

C T S art. 4 and U N C L O S art. 7.

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islands in their immediate vicinity. 1 2 Both criteria apply to most of Sweden's Baltic coast. The length of the baselines is therefore limited largely by other criteria, such as those requiring the lines to follow the general direction of the coast, but it is also stated that account may be taken "of economic interests peculiar to the region concerned, the reality and importance of which are evidenced by long usage." There is no similar statement as to the base points that may be relied upon, and the Swedish usage of drawing lines to points which were "not always submerged by the water" was considered to be in doubtful conformance with the Conventions' prohibition on drawing baselines to low tide elevations. Although the Baseline Committee pointed out that "low tide elevation" does not apply to non-tidal waters such as the Baltic Sea, and although it might, in some cases, have been permissible to apply a particular exception for baselines which have received international recognition, the Committee cautiously refrained from "generally" drawing any baselines to points that are not either visible at mean water level or fitted w i t h a lighthouse or similar installation which rises permanently out of the water. 13 Since the drawing of baselines to outlying points requires either a deeply indented coast or a fringe of islands along the coast, it is not generally permissible to draw baselines from one headland to another, thus moving the baseline some distance out from the shore. But, where base points have been localised on islets or rocks off the coast, Sweden, at least, has not hesitated to use them as fulcra of baselines, even if the conditions have otherwise been rather similar to an unbroken low water coast. A n example of such a use of stray rocks and islets off the coast is the baseline along the south-west coast of Sweden off Halland and another, perhaps, along the coastline south of Bjuröklubb (Skelleftea) in the Gulf of Bothnia. d) True to Coast The baseline around the Stockholm archipelago joins the outermost rocks of the archipelago and may be seen as a faithful contour of the latter. The straight lines are mostly about 12 to 13 miles in length, but in some sections of the coast several are close to 30 miles. This is in accordance with the CTS and U N C L O S principles 14 that baselines must follow the general direction of the coast and must be so linked to the coast that they can reasonably be subject to the regime of internal waters. A n isolated rock far out does not suffice to affect the general baseline, but this does not prevent the rock from having its own territorial water reckoned from the rock's own low water line as its own baseline. 12 13 14

CTS art. 4 (1) and U N C L O S art. 7 (1). S O U 1965, 1, 39. C T S art. 4 (2), U N C L O S art. 7 (3).

7GYIL 34

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The baselines around the Stockholm archipelago clearly do not follow the configuration of the mainland but follow that of the archipelago which, as in the Anglo-Norwegian fisheries decision, is the "coast" for the purpose of drawing baselines. As an example of a non-permissible deviation from the coastline, I take the southwest coast of Gotland, with the off-lying Great Karlsö island. The general baseline is drawn along the coast and to Little Karlsö, but the outer island has its own baseline, which results in a bulge in the Swedish territorial sea. Similarly, the Bogskar rocks south of Aland do not form part of the general Finnish baseline but have their own.

e) Low Tide Elevations and Man-made Structures If a rock is visible only at low water, U N C L O S , 1 5 as already stated, does not recognize it for the purpose of drawing straight baselines, unless there is a lighthouse or similar above-water structure built upon it, or the drawing of the particular baseline has received international recognition. 16 However, it is only for the purpose of drawing straight baselines that the low tide elevation is not recognized, and the elevation is perfectly capable of serving as a base point for a circle sector having as a radius the breadth of the coastal State's territorial sea. This is on the express condition, however, that there is a national island or part of the mainland within the full circle. These rules imply, among other things, that though the low tide elevation may enlarge the national water, it will not generate any interior water entitling the coastal State to suspend the right of innocent passage to passing ships. The rules also show that low tide elevations isolated in the sea have no territorial water of their own. 1 7 A lighthouse or similar structure on a low tide elevation may, however, transform the elevation into a recognized base point. But if the structure is built in deep water, it does not become a base point even for a circle sector. Thus the cassion lights of Almagrund and Svenska Björn off the Stockholm archipelago have no effect whatsoever on the drawing of any international boundaries. The Baseline Committee in 1965 named a large number of low water rocks within the old four mile limit, which were used as base points for extending sectors of the territorial sea. When in 1979 the territorial sea was increased to 12 miles, the same base points were used, but no attempts seem to have been made to find others within the new territorial sea to justify further extensions. Although it should still be possible to do this in connection w i t h a future revision of the Swedish baselines, all agreements on colliding zones which are now being made with our neighbours 15 16 17

C T S art. 4 (3), U N C L O S art. 7 (4). The exception of "international recognition" does not occur in O T S art. 4 (3). See C T S art. 11 (1), U N C L O S art. 13.

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are founded on present baselines and will hardly be open to revision for a long time to come. 4. Territorial

Sea

a) Breadth According to the Swedish Act (1966:374) on the Swedish Maritime Territory, as amended (1979:1140), the territorial sea includes the waters outside the coast and interior waters to a distance of 12 nautical miles or 22.224 metres from the baselines, except as specifically stated for some areas where particular agreements have been made with neighbouring nations. Territorial limits in the Baltic vary strongly at present. Finland maintains the four-mile limit which she shared with Sweden until 1979 although around the Bogskär islands the limit is only three miles. The Soviet Union, like Poland, claims twelve miles. Germany since its unification has two different limits, because the previous G D R claimed a 12 mile limit, while the Federal Republic claimed only three miles, and no change had been made in the boundaries before the unification. Finally, Denmark maintains a limit of three miles. The territorial boundary runs at the stated distance parallel to the baselines, generally straight where the baselines are straight und curved where the baseline follows a curved coast. Extending departures occur as a result of base points outside the baselines in the shape of low water rocks or low tide elevations which, as previously stated, do not generate straight baselines but only circle sectors consisting of their own territorial water. Such areas intersect the general territorial boundary and appear äs bulges in it. A n example of such a bulge involves the territorial boundary outside the island group of Svenska Högarna in the Stockholm archipelago. The baseline at Svenska Högarna has been drawn according to the rules without regard to the low water rock of Piskan, which instead receives its own territorial water, resulting in an outward bulge of the territorial boundary. A notable example of the application of these rules occurs at the lighthouse of Grundkallen on the north Uppland coast. Here the baseline has been drawn from the island and lighthouse of Understen to the islet of Högkallegrund rather than to the low water rock of Grundkallen, nearly four nautical miles further out. The territorial water is measured from the baseline but protrudes in a circle from the low water rock but not from the Grundkallen lighthouse, which is not built on the rock itself but upon on a cassion in the water outside. The Märketskallen low water rock, just south of Grundkallen is the centre of a sector drawn to the north, and the islet of Market is a similar centre for a sector drawn to the south. The borderline to the east follows an agreement with Finland, which owns the lighthouse on Märket and part of the islet.

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A bulge in the territorial boundary may also result from an island protruding outside the general direction of the coast. The reader is referred to the baseline discussion above, especially regarding Karlsö islands.

b) Agreed Boundaries The boundaries discussed so far can be determined unilaterally by the coastal State as long as they are not questioned by any foreign power. Where a State's water boundary meets that of a foreign country, negotiation is needed to fix the line. Such a need arises where the land border between two countries runs down into the sea, and also where a neighbouring country is on the opposite side of a strait of insufficient breadth to accommodate the claims of both States (see below). Both of these situations are encountered along the Swedish borders and have necessitated special agreements with our Nordic neighbours. Such agreements are invariably based on the principle that both parties have a right to equal water areas, irrespective of what general territorial sea breadths are at present being claimed. Both the CTS and U N C L O S solutions are based on the median line, each point of which is at an equal distance from the nearest point on the respective baselines of the two competing countries. 18 Thus, the fact that Denmark claims only a three mile limit will not give Sweden — with its 12 mile limit, any right to waters beyond the median line, and Sweden must therefore limit her claims in the border straits, even if no collision occurs with Danish waters. Exceptions to the median principle are made for historical and other reasons, 19 such as the presence of islands in the border area. Boundary negotiations in such cases are often complicated and have given rise to many disputes. The Swedish discussions w i t h Denmark have a bearing on the Baltic issues and should be mentioned here. U n t i l as late as the 19th century, the Danish Sounds, including Oresund between Denmark and Sweden, were controlled by Denmark which collected a toll from ships passing into the Baltic. Through the so-called Abolition Treaty of 1857, between Denmark on the one hand and a large number of European countries on the other, Denmark, in return for a large cash payment, ceded all future claims to collect t o l l in the Sounds. The treaty is traditionally construed as ensuring the free passage of foreign shipping into the Baltic Sea.20 According to an agreement from 1932, the boundary between Sweden and Denmark follows an agreed demarcation line, on either side of which the water becomes Swedish or Danish as far as the territorial waters extend. The line 18 19 20

C T S art. 12 (1), U N C L O S art. 15. C T S art. 12 (1), U N C L O S art. 15. See B. Johnson-Theutenberg, Folkrätt och säkerhetspolitik, Stockholm 1986, 230.

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generally coincides with the median line between the Swedish and Danish land areas including the Swedish island of Ven and the Danish island of Saltholm. 21 The introduction of a Swedish 12 mile zone in 1979 has not necessitated any changes in the demarcation line. However, since the recognition of the main U N C L O S principles, a claim by Sweden to all the water out to the median line would have a detrimental effect at the entrance to the Sound, and also in the passages on the Swedish side of the Danish islands of Anholt and Laesö, as well as in the Bornholm strait in the Baltic. According to U N C L O S these passages are international straits for which the new regime of transit passage might become applicable. Transit passage is less subject t o local restrictions than innocent passage through coastal waters. 22 In particular, passing warships are not prohibited from exercise or practice with weapons, submarines are not required to navigate on the surface, and the coastal State is precluded from requiring state vessels to give prenotification of an intended passage. A l l this is true for the entire strait area, not only for passage through the centre or an assigned channel. To avoid such effects, Sweden has reached an understanding with Denmark through which Sweden abstains from claiming all the water to the demarcation line, leaving a corridor of international water on the understanding that Denmark will do the same if and when it extends its national waters. However, in Oresund the transit passage regime applies only to the approaches and not to the strait as dealt with in the 1857 Abolition Treaty. Straits where historical rights or long-standing treaties govern the right of passage retain their status. Thus, in Oresund, passage through the Sound itself is governed by the 1857 treaty while passage through the approaches is transit passage in the corridor but innocent passage in the Swedish and Danish waters. O n the question of boundary-drawing, the understanding with Denmark has the effect that the Swedish territorial boundary does not, in the relevant areas, extend to the full twelve miles, though for reasons of freedom from collison with opposing claims it could have done so. A corresponding agreement has not been made with Finland for the Straits of Aland and Bothnia (Norra Kvarken), although the transit rule must be considered applicable there, and Sweden, in defiance of the transit freedom, requires prenotification of certain passing state vessels.23 The border 21

B. Johnson-Theutenberg , Suveränitet i havet och luftrummet, Stockholm 1972, 302-

305. 22

See U N C L O S art. 37-44 compared w i t h art. 17-32 on innocent passage. O n the subject, Elisabeth Wudie , Transit Passage, Stockholm University, 1989. Swedish authorities require prenotification for the passage of warships through coastal waters but not through the Öresund, Theutenberg (note 20), 121-123. 23 According to Theutenberg (note 21), this had not led to protests by foreign States, but the article was written in 1986, before the recognition of the transit rules. The author has seen a large number of official Swedish documents concerning unnotified passages of Soviet warships.

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w i t h Aland goes back to the 1809 Fredrikshamn Peace Treaty with Russia 24 the terms of which are repeated in the 1921 Convention on the non-militarisation of the Aland Islands, 25 although renewed negotiations in 1985 led to an altered borderline on the island of Market, 2 6 which is shared by Sweden and Finland. I n other respects, too, the border w i t h Finland rests on agreements going back to the 1809 Peace Treaty. 2 7 The northern boundary is now based upon a common baseline between the Swedish islet of Letto and the Finnish Selkäsarvi. 28

5. Fishing Zone and Shelf a) General Neither Sweden nor the other Nordic countries claim an exclusive economic zone, in contrast to the Soviet Union and, since the start of 1991, Poland. The Nordic countries are content w i t h a fishing zone and a continental shelf, which are considered to fulfil all practical needs. However, Sweden has recently proposed new legislation designed to introduce a general Swedish Economic Zone. This is considered to be a necessity for purposes of environmental control. 2 9 Apart from a certain deviation in the Sea of Aland, which will be considered below, 30 the extent of Sweden's fishing zone is identical to that of its part of the shelf and is treated as such in negotiations with its neighbours. Due to the small size of the Baltic, all these boundaries are shared with neighbouring countries and have thus had to be determinined by negotiations. A l l boundaries are now substantially agreed 31 with the exception of the above-mentioned area by the Bogskär islets, where full coincidence between the fishing and shelf zones has not been reached.

24

The 1809 Fredrikshamn Treaty w i t h additional documents from 1810 and 1811, see Theutenberg (note 21), 306-308. 25 The Convention is from the 20th October 1921. 26 See the exchange of notes between Sweden and Finland SO 1985; 52 and the Bill, Prop. 1983/84-202, where the land area on the island was redivided to place the Finnish lighthouse on Finnish soil. 27

See Theutenberg (note 21), 306-308. Finnish-Swedish Agreement 1973, whereby some of the provisions of the Fredrikshamn documents from 1811 were taken up. See also S O U 1965; 1, 45. 28

29

See Swedish Foreign Office Memorandum Ds 1990: 41 Sveriges ekonomiska zon. See below at Sections d) and e). 31 Agreements have been concluded w i t h Norway (SÖ 1977: 1) w i t h Finland w i t h exception for the Bogskar area (SO 1973:1), w i t h previous East Germany (SO 1978: 2) and w i t h Denmark (SÖ 1985: 54). 30

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b) The Gotland Conflict A particularly complex bargaining situation existed with regard to the continental shelf division against the Soviet Union east of Gotland. This large island has a surface area of 3,140 square kilometres and a length, including the separate island of Farö, of 125 kilometres. The island is a separate county with a population of about 56,000. For opposite shelf areas, the 1958 CCS, like the CTS for territorial waters, provides the median line as a main rule, unless special circumstances justify an exception. 32 U N C L O S , on the other hand, solves the issue only by referring the question — for the continental shelf as well as for economic zones — to "agreement on the basis of international law in order to reach an equitable solution", and if no agreement is reached, to arbitration. 3 3 The principle, which scarcely gives any indication of a concrete solution, was developed by the International Court of Justice in the North Sea Continental Shelf Cases,34 which decision was not based on the CCS and did not accept the median line even as a rule of first instance. In U N C L O S it was not possible to reach a definite agreement on any formula other than the inconclusive one of "equitable principles". In the Gotland dispute, Sweden demanded a shelf share and fishing zone to the median between Gotland and Soviet Estonia, while the Soviet Union required the partition line to be drawn between the Swedish and Soviet mainlands, just east of Gotland. The legal implications were uncertain, and equities were doubtless divided. As mentioned, the CCS makes exception from the median line when "special circumstances" justify another solution. The presence of islands is sometimes considered to be such a circumstance. While the CCS has no express provision for islands, the CTS provides that they shall have full territorial waters according to the Convention 3 5 and U N C L O S provides that they shall have both territorial water, zones, and their share of the continental shelf. 36 Thus, under CCS the partition line should be the median, but it is not said whether it can be measured from an island such as Gotland (although this is said of the territorial sea in the simultaneous CTS), while U N C L O S prescribes that the partition line shall be counted from Gotland but not whether it should be the median! In terms of interpretation, Sweden had fallen between two stools, unless the two conventions could be combined. O n the other hand, one may ask where else a line giving full U N C L O S effect to Gotland could be drawn except in the middle!

32 33 34 35 36

See art. 6 (1) for opposite States and art. 6 (2) for adjacent States. U N C L O S art. 74 for economic zones and art. 83 for the continental shelf. International Court of Justice Reports 1969, para. 101 (c) (1). A r t . 10 (2). A r t . 21.

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A n equitable argument for the Soviet Union might be the need for fishing water for a country of its size. But, at the same time, the Soviet negotiation position was prejudiced by the fact that in other areas the Soviet Union had claimed a median line along the same lines as Sweden in the Gotland dispute. 37 O n the other hand, Sweden's position was also prejudiced by a dispute which arose simultaneously on its west coast, which we shall discuss presently. The Gotland negotiations dragged on for many years and ended in a compromise which may be said to have been reasonably favourable for Sweden. The final agreement gave Sweden 75 % of the disputed area. The result may have been due partly to the manner in which Sweden conducted her simultaneous west coast dispute. c) The Hesselö Incident While the Gotland negotiations.with the Soviet Union were slowly dragging on, Denmark suddenly demanded a shelf and fishing boundary in Kattegat between the Swedish coast and the Danish islands of Anholt and Laesö and the small island of Hesselö, one square kilometre in size and without any permanent habitation, off the Sjaelland mainland. Sweden refuted the claim w i t h regard to Hesselö, claiming it was similar to a "rock which cannot sustain human habitation or economic life of its own" and which, under U N C L O S , can generate neither an economic zone nor a continental shelf. 38 Denmark said that Hesselö was not of that character and many of the press writers were of the opinion that Sweden's resistance to a median line on its western side squared badly with its vindication of such a line on its east coast. 39 The dispute w i t h Denmark was, however, quickly settled by Sweden's acceptance of the Danish claims for all the three Kattegat islands in return for Danish concessions in a much less publicised dispute concerning the waters around Bornholm in the Baltic. 40 ο

d) The Aland Sea, Fishing Pockets and Bogskär The Baltic is a shallow sea and wholly a continental shelf whose sea-bed resources are divided between the opposite neighbours who inhabit her shores. In the Aland Sea, the shelf has been divided between Finland and Sweden along a line negotiated in 1972, 41 in general agreement on an older demarcation line an from 1811 and 37

Theutenberg (note 21), 271, mentions the boundary agreement between the Soviet U n i o n and Finland of the 5th May 1967 and that between the Soviet U n i o n and Romania concerning the small island of Zmeinva. The Soviet position in the Baltic is also said to have been in conflict w i t h one assumed by the Soviet U n i o n concerning conflict in the Bering Sea. 38 U N C L O S art. 121 (3). 39 See references in Hugo Tiberg , New Sea Boundaries in a Swedish Perspective, Michigan Journal of International Law 10 (1989), 695. 40 SÖ 1985, 54, Prop. 1984/85; 131, cf. Tiberg, (note 30), 695. 41 SÖ 1973, 1.

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1921. 42 The line runs between the Swedish cassion lighthouse of Svenska Björn on the Finnish side and two smaller Finnish deep-water lighthouses (Armbagen and Tröskeln W ) on the Swedish side. The line has been drawn without considering the Bogskär islets, described in the introduction to this article. In the Swedish and Finnish declarations of fishing zones of 1977 it is stated that the boundary runs at mid-water between the Swedish and Finnish baselines.43 N o exact ascertainment of the boundary was made, but an amendment (1977:449) was made in the Fishing Act (1950: 596), stating 44 that the fishing zone includes the area declared by the Government but may not be extended beyond the median or agreed line to any other State. I n the Aland Sea, a technical determination of such a line results in a sinuous curve winding around the agreed shelf boundary. The areas which are formed where the fishing boundary surpasses the shelf line have been called "fishing pockets" — Finnish pockets on the Swedish shelf and Swedish pockets on the Finnish shelf. Discussions are being conducted between the Finnish and Swedish Foreign offices for the purpose of removing these deformities and achieving, if possible, a common boundary for economic purposes. In these discussions, Finland has so far rejected the simple solution of using the shelf demarcation as fishing boundary, because the former was drawn without regard to the Bogskär islets. Although it is clear that under U N C L O S the Bogskär islets ought not to generate any fishing or economic zone, since they are clearly not areas "sustaining human habitation" or harbouring "an economic life of their own", Finland has made much of its claim that regard should be paid to them. Finland also claims that some of the Finnish "fishing pockets" have particularly valuable fishing and should have a higher compensation value than the corresponding Swedish pockets. The Swedish position appears to allow some concession towards the Finnish interests in order to settle the dispute, but very much less than is asked for by Finland. A t the time of this writing (May 1991) discussions are still in progress. e) Transit Passage Through the Aland Sea We have seen that in some shipping passages towards Denmark, Sweden has refrained from claiming its entire 12 mile zone in exchange for an understanding that in due time Denmark will do the same, in order to avoid the extensive rights of passing shipping allowed by the U N C L O S rules of transit passage. A similar solution would seem equally apposite in the Aland Sea, where Sweden in particular considers herself in need of a rule obliging passing submarines to navigate on the surface while in Swedish territorial waters. Discussions which are said to have been 42

The former occurred in the 1811 topographical boundary description after the Peace of Fredrikshamn and the latter in the 1921 Treaty on the Non-militarisation of the  l a n d Islands. 43 44

N o t e exchange SÖ 1978: 15-16. Fishing Act, 1 S subs. 2.

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carried on w i t h Finland on the subject do not so far appear to have resulted in any agreement. f) Remaining Questions and Exclusive Economic Zone I t seems reasonable that the discussions with Finland on fishing pockets and the Bogskär islets should result in an agreement for a unitary zone extension. I t is difficult to guess whether a corridor of international water will be established through the Aland Sea and perhaps through the Strait of Bothnia (Norra Kvarken). Apart from the Bogskär question, the remaining boundary discussions on the Baltic Sea mainly concern the exact location of a number of so-called three State points. These involve relatively small areas of water. The determination of a remaining three State point against Finland and the Soviet Union will presumably not be pursued by Sweden until the status of the Baltic republics has been clarified. A three State point against Poland and Denmark is scheduled to be considered in forthcoming negotiations. A point against Denmark and Germany (former G D R ) will presumably be left for a later moment when the situation regarding the united Federal Republic and its maritime zones has been consolidated. The significant discussion at the moment is indeed less concerned with the extension of the zones than with their quality. Hitherto, the Swedish zones outside the territorial waters have been fishing zones and a share of the continental shelf. But Poland has recently declared an economic zone, and Sweden is contemplating doing the same within the near future. The Polish declaration has taken the form of claiming all rights allowed under U N C L O S , while Sweden contemplates extending her domestic legislation over the zone areas. 45 The stated intent of the planned extension is to reserve the possibility of research and exploitation of natural resources from the sea,46 as well as the protection and preservation of the marine environment. 47 I t may be, however, that the Foreign Office has not fully appreciated the limitations inherent in U N C L O S . 4 8 A t the present state of scientific development it may also be asked what concrete advantages the extension will confer on Sweden, considering, inter alia , that in respect of environmental control a division into control zones is already planned and considered feasible on the basis of the Helsinki convention, 1974. 45

Sveriges ekonomiska zon, Foreign Office Memorandum Ds 1990: 41. Proposed Act on Sweden's Economic Zone 2 § 1 and 2. The Memorandum, loc cit, 73 f., mentions the possible energy generation and mineral extraction from the sea. 47 Proposed A c t on Sweden's Economic Zone 2 S 3. 48 Thus U N C L O S art. 62 contains prospective limitations which probably do not apply to the present fishing zone. 46

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But, whatever the advantages, it seems clear that Sweden is heading for a unitary zone rather than a set of different ones. Divergences such as that in the Aland Sea between the shelf and the fishing zone will not be compatible with such a zone. And, even if Sweden retains zones of varying qualities, it is obviously an advantage for these to coincide, so that rights can be wielded, responsibilities taken and control measures exercised by each country in a single well-defined area. This gives the deliberations on the Bogskär islets particular significance for the future of the Baltic sea. For better or for worse, the development in the Baltic, as in most sea areas, has tended towards partitioning, first and foremost for fishing purposes. 49 N o w that the cake is being divided for other purposes as well, it would be unlucky and inconvenient if the slices were measured differently depending on the jam within. I t would be a sad spectacle if two tiny and solitary rocks were to finally defeat the success of long and painstaking negotiations towards a rational unitary demarcation of the Baltic Sea.

49

See Hugo Tiberg , Svensk Juristtidning (1977), 1-12.

La sécurité internationale à l'ère de l'après-guerre froide: Le rôle des Nations Unies Par Victor-Yves Ghébali

I. Introduction Apparu dans le sillage de la Seconde Guerre mondiale finissante, le phénomène de la guerre froide eut l'Europe pour épicentre politique, les autres continents pour champ de bataille militaire et l'Organisation des Nations Unies pour théâtre d'imprécations symboliques. La nouvelle politique extérieure de l'URSS, mise en œuvre depuis l'avènement de Mikhaïl Gorbatchev , a fondamentalement modifié la situation. En mettant fin à la confrontation idéologique — exemplairement manichéenne — qui opposait l'Est et l'Ouest, elle a permis à l ' O N U de bénéficier, à partir de 1987, d'un véritable regain politique illustré éssentiellement par l'arrêt des hostilités dans la guerre Iran / Iraq, la signature des Accords de Genève sur l'Afghanistan, l'indépendance de la Namibie et les sanctions contre l'Iraq. 1 La disparition du "méga-conflit" Est-Ouest ne fait pas pour autant de l'après-guerre froide une situation idyllique: des périls anciens et des périls qualitativement nouveaux — tous d'une réelle gravité — voilent le firmament politique des années 90.

I I . La nature des périls dans l'après-guerre froide Le monde de l'après-guerre froide est confronté à trois catégories de périls. En premier lieu, il y a les conflits dits "régionaux" qui, en générale, sont la résultante de facteurs belligènes d'origine régionale, mais magnifiés et aggravés par des enjeux extérieurs liés à la rivalité des super-puissances. La disparition de cette rivalité est une condition nécessaire, mais nullement suffisante, de leur règlement politique. De tels conflits ont été et restent la source de guerres récurrentes (Moyen-Orient, Chypre) ou de processus de violences continues (Liban, Cambodge, Afghanistan, Sahara occidental, Amérique centrale). D u fait de leur persistance (plus de quatre décennies pour le conflit moyen-oriental et près de trois pour celui 1

Cf. nos articles: "L'URSS de Gorbatchev et les Nations Unies", dans: International Geneva Yearbook (1989), 26-36 et "Les Nations Unies entre l'Est et l'Ouest", dans: Le Trimestre du monde 7 (1989/III), 21-35.

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de Chypre), ils constituent des abcès de fixation destructeurs de la paix régionale, déstabilisateurs du système international global et générateurs de discrédit pour l'ONU. Le conflit issu de l'annexion du Koweït par l'Iraq mérite une mention tout à fait particulière. A première vue, tout semble indiquer qu'il s'agit d'une agression classique, c'est-à-dire d'un acte commis en violation de certains principes fondamentaux du droit international tels que le non-recours à la force, le règlement pacifique des différends, l'intégrité territoriale des Etats et l'auto-détermination des peuples. En réalité, la portée de cet acte est plus considérable. L'Iraq a poussé l'illégalité à ses extrêmes limites en violant l'un des rares tabous du code — informel — des relations internationales d'après 1945: l'annexion d'un Etat souverain, membre des Nations Unies. L'annexion n'avait certes pas disparu de la pratique internationale; mais depuis 1945, elle n'avait concerné que des territoires alors non autonomes (Sahara occidental, Timor) ou des portions plus ou moins étendues de territoires (Golan, Bande d'Aouzou) appartenant à des Etats souverains dont l'existence en soi n'était pas remise en cause. Jamais cependant depuis la création de l ' O N U , un membre de celle-ci n'avait été ainsi purement et simplement rayé de la carte du monde à la suite d'un recours direct à la force. A cela, sont venues s'ajouter des violations massives et systématiques du droit humanitaire (utilisation de personnes civiles étrangères comme "boucliers humains"), des droits de l'homme (exactions graves vis-à-vis de la population kowétienne, détention de ressortissants étrangers innocents de tout délit) ainsi que du droit des relations consulaires et diplomatiques (entraves au fonctionnement des consulats et ambassades au Koweït). 2 En un mot, l'Iraq a porté atteinte aux fondements essentiels de ce qui peut constituer une communauté internationale tant soit peu civilisée. Par là même, il a posé un défi d'une gravité sans précédent — défi d'autant moins acceptable que l'annexion du Koweït a pour effect de toucher à l'équilibre mondial (modification des données du marché du pétrole) et à l'équilibre de la zone la plus explosive du globe. E n deuxième lieu, i l y a la prolifération

régionale des armes de destruction

massive

(nucléaires, chimiques, biologiques) ainsi que de systèmes d'armements à moyenne ou plus longue portée (missiles). Cette prolifération apparaît d'ores et déjà comme la menace la plus grave à la sécurité dans le années 90. Sa virtualité est de moins en moins lointaine comme en témoigne l'usage récent de l'arme chimique, par l'Iraq, dans le contexte du conflit avec l'Iran et dans celui de la répression contre ses propres populations kurdes — sans compter la menace iraquienne d'y recourir en cas d'intervention militaire visant à libérer le Koweit. D ' u n point de vue général, on ne peut que souscrire à l'opinion du Secrétaire général Pérez de Cuéllar considérant comme inacceptable "l'apparition sur la scène internationale de tout 2 Cf. notre article: "Les Nations Unies face au conflit Iraq / Koweit: un directoire en action dans: Le Trimestre du monde 12 (1990/IV), 156.

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nouvel Etat potentiellement ou implicitement nucléaire": l'acquisition d'armes nucléaires par de nouveaux Etats serait bien, en effet, "aussi dangereuse que la poursuite de la course aux armements nucléaires entre les Etats qui en sont déjà dotés". 3 Le risque qui existe ici est l'utilisation éventuelle d'armes de destruction massive comme prolongement de systèmes d'armements conventionnels, soit en tant qu'instruments effectifs de combat et non plus seulement comme moyens de dissuasion. O n aboutit ainsi à la conclusion paradoxale que la gravité d'un conflit international peut augmenter d'une manière assez significative dès lors qu'il cesse d'être mené par "procuration" (pour le compte des super-puissances) et devient plus authentiquement "régional". Si les progrès de la prolifération au sein du tiers monde ne procèdent pas d'un facteur unique, il n'en reste pas moins qu'ils ont souvent une source commune — le commerce des armes. En troisième lieu, il y a les fléaux transnationaux globaux tels que le terrorisme, le trafic de la drogue, la dégradation de l'environnement, les flux migratoires massifs, la surpopulation, la famine, etc. Ces fléaux, qui frappent en fait les sociétés par delà les Etats dont elles représentent les populations humaines, sont révélateurs d'une double tendance: d'une part, la sécurité ne se limite plus au domaine militaire et est désormais inséparable de l'évolution des rapports économiques, écologiques, humanitaires et sociaux; d'autre part, la sécurité ne s'arrête plus aux limites politiques (par définition artificielles) de l'Etat-nation: sécurité nationale et sécurité internationale vont de pair. Lors de son intervention au Sommet de Paris des Etats de la Conférence sur la sécurité et la coopération en Europe, le Secrétaire général Pérez de Cuéllar l'a bien exprimé en ces termes: "L'arc des nations développées qui traverse maintenant l'hémisphère septentrional, ne doit pas s'arrêter à une ligne séparant N o r d et Sud; il doit s'étendre et former un cercle à l'intérieur duquel N o r d et Sud pourront prospérer ensemble (...). Le N o r d continuera d'être assis sur un tronc d'argile tant que le Sud ne jouira pas d'un minimum de bien-être". 4 Dans quelle mesure les Nations Unies sont-elles équipées, au triple plan conceptuel, institutionnel et opérationnel, pour répondre de manière appropriée à tous ces périls? I I I . Les moyens conceptuels de 1 O N U En matière de sécurité, l'approche conceptuelle de l ' O N U présente deux faiblesses principales. D'une part, il s'agit d'une approche fondamentalement politico-militaire. Datant de 1945, la Charte des Nations Unies est fondée sur une conception traditionnelle 3

Rapport du Secrétaire général sur l'activité de l'Organisation, document A/45/1. Texte du discours du Secrétaire général à la cérémonie d'ouverture du Sommet de la CSCE (Paris, 19 novembre 1990), 11. 4

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associant la "sécurité" à la "paix". 5 Comme l'indique son préambule de manière on ne peut plus nette, c'est en fonction du "fléau de la guerre qui, deux fois en l'espace d'une vie humaine, a infligé à l'humanité d'indicibles souffrances": 6 que son dispositif de sécurité est conçu. Celui-ci vise en effet toute "menace à la paix", "rupture de la paix" et "acte d'agression". 7 Q u ' i l s'agisse de "différends" ou de "situations", 8 la problématique de la sécurité se ramène à la prévention des conflits politiques internationaux ainsi qu'à leur règlement — soit par voie pacifique (bilatéralement ou au sein du Conseil de sécurité), soit par une action coercitive décidée par l ' O N U elle-même. En somme, la sécurité s'entend ici comme la protection du territoire (ainsi "sacralisée") des Etats-nations contre un usage de la force revêtant la forme illégale et particulièrement haïssable de Γ "agression". 9 D'autre part, il s'agit d'une approche non intégrée , pour ne pas dire éclatée. En effet, si le régime général de la Charte englobe le désarmement ainsi que la coopération économique et sociale — et si depuis des années l ' O N U leur consacre bien la majeure partie de ses efforts —, il n'en reste pas moins que ces deux domaines ne se rattachent pas directement à la problématique de la sécurité mondiale: — Initialement, la Charte avait prévu que l'Assemblée pouvait "étudier (...) les principes régissant le désarmement et la réglementation des armements" 10 et le Conseil de sécurité élaborer des plans (non-obligatoires) en vue d'un système de réglementation des armements aboutissant à un détournement minimum des ressources humaines et économiques des Etats membres vers les dépenses d'armements. 11 Dans la pratique, cependant, les problèmes du désarmement ont fait — et font toujours — l'objet d'une répartition des tâches dont les Nations Unies n'ont pas la part la plus substantielle. Ainsi, le rôle de l ' O N U se borne surtout à des débats menés dans toute une série d'organes (première commission de l'Assemblée générale, Commission du désarmement, Comité ad hoc pour la conférence du désarmement, session extraordinaire de l'Assemblée générale) ainsi qu'à un travail de réflexion et de recherche entrepris par le Département pour les affaires du désarmement (New York) et l ' U N I D I R (Genève). La fonction de négociation échappe aux Nations Unies. Elle est 5

Et par ailleurs, à la "justice". La notion de justice a été retenue compte tenu du précédent historique de Munich (1938) lors duquel la paix fut — provisoirement — sauvegardée au prix d'une injustice: le rattachement du territoire des Sudètes à l'Allemagne national-socialiste. 6 Paragraphe 1er du préambule de la Charte des Nations Unies. 7 Articles 1er (paragraphe 1er) et 39 de la Charte. 8 9

Distinction figurant au chapitre V I de la Charte.

Dans cet ordre d'idées, voir les articles 3 et 5 de la définition de l'agression adoptée par l'Assemblée générale dans sa résolution 3314 ( X X I X ) du 14 décembre 1974. 10 Article 11, paragraphe 1er, de la Charte. 11 Article 26 de la Charte.

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assumée par la Conférence du désarmement (CD) qui est une instance mondiale indépendante de P O N U (bien qu'elle soit financée par celle-ci et lui fasse régulièrement des rapports) ainsi que par la Conférence de Vienne sur les forces armées conventionnelles en Europe (FCE) qui réunit les 22 pays de l ' O T A N et du Pacte de Varsovie — sans compter les forums spécifiquement bilatéraux Etats-Unis / URSS (SALT et, actuellement, S T A R T ) . — La coopération économique et sociale fait également l'objet d'un partage pragmatique entre de multiples organes de l ' O N U proprement dite et un certain nombre d'institutions spécialisées extérieures. Quoi qu'il en soit, son orientation échappe à tout contrôle du centre nerveux que devrait normalement constituer le Conseil de sécurité. La Charte des Nations Unies lui attribue la vertu de "créer les conditions de stabilité de bien-être nécessaires pour assurer entre les nations des relations pacifiques et amicales". 12 Elle en fait la simple auxiliaire de l'entreprise de la sécurité, 13 sans jamais envisager que les objets constituant son domaine puissent être la source directe de menaces à la sécurité. A l'aube des années 90, l'élaboration d'une approche plus compréhensive de la sécurité est une nécessité. Le concept de sécurité paraît passible d'un élargissement conceptuel au triple niveau du péril auquel l'on doit parer, de ce qu'il convient de protéger et de la finalité même de cette protection. U n mécanisme de sécurité globale serait ainsi destiné à faire face à toute rupture indirecte (et non pas seulement directe) à la paix, c'est-à-dire à traiter des causes profondes et potentielles aussi bien qu'immédiates et effectives d'une telle rupture. De même, il viserait la p r o t e c t i o n de la communauté

des nations en tant qu entité globale concrète et n o n

pas des seuls Etats-nations considérés comme entités politico-territoriales souveraines. Enfin, il serait axé sur l'objectif du changement pacifique davantage que sur celui de la préservation du statu quo.

IV. Les moyens institutionnels de 1 O N U V u sous l'angle institutionnel, le problème de la réponse de l ' O N U aux défis des années 90 soulève deux interrogations essentielles en rapport avec la représentativité et l'étendue du mandat du Conseil de sécurité. Touchant le premier point, il est patent que la composition du noyau permanent du Conseil de sécurité n'est pas représentative des pôles de puissance qui caractérisent le monde actuel. La non-représentation permanente de géants économique (et ex-"Etats ennemis",au sens du paragraphe 2 de l'article 53 de la Charte) tels que la RFA et le Japon ne constitute pas une anomalie seulement depuis hier. Mais celle-ci 12 13

Article 55 de la Charte.

La Charte prévoit que l ' E C O S O C "peut fournir des informations au Conseil de sécurité et l'assister si celui-ci le demande" (article 65).

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a maintenant perdu toute justification possible d'une part avec le Traité "2 + 4" sur l'unification externe des deux Etats allemands et, d'autre part, avec la signature de la "Charte de Paris pour une nouvelle Europe" (21 novembre 1990) qui a marqué symboliquement la fin de la Seconde Guerre mondiale ainsi que de la guerre froide. D ' u n point de vue purement théorique , trois options sont ici envisageables: a) La première serait, à l'instar de ce qu'avait fait la S D N alors confrontée à une situation assez comparable, l'augmentation du nombre des sièges permanents, lequel passerait ainsi de cinq à sept. 14 U n tel arrangement serait politiquement peu heureux. I l provoquerait un tollé de la part des très nombreux pays du tiers monde qui condamnent toute représentation non-élective comme attentatoire au principe de l'égalité des Etats. Par ailleurs, elle équivaudrait à l'ouverture d'une boite de Pandore en encourageant certaines puissances régionales à revendiquer un siège permanent pour leur propre compte ou au nom des intérêts du tiers monde. Cette dernière hypothèse n'est pas uniquement d'école: rappelons que l'accession de l'Allemagne au Conseil de la S D N en tant que membre permanent favorisa un processus de revendication qui se solda par le retrait définitif du Brésil des instances internationales de Genève. b) Plus originale et élégante serait l'option qui maintiendrait inchangé le nombre statutaire de sièges permanents. Elle consisterait à attribuer les sièges présentement détenus par la France et le Royaume-Uni, l'un à la Communauté économique européenne en tant que telle (donc y compris à l'Allemagne) et, l'autre, au Japon. 15 Les obstacles à une telle formule ne seraient pas, non plus, négligeables. D'abord, le régime de la Charte ne prévoit pas la représentation collective des Etats membres au sein des organes de l ' O N U . Ensuite, il y a peu de chance de voir la France et le Royaume-Uni renoncer au privilège appréciable (symboliquement et politiquement) du droit de veto que leur vaut leur qualité de membres permanents. Enfin, l'éventualité d'une politique étrangère commune de la CEE parait encore bien lointaine. c) Une dernière option serait de procéder, à partir du modèle offert par la réforme adoptée pour le Conseil d'administration du B I T en 1986, à la suppression de la distinction entre membres permanents et membres non permanents: les sièges au Conseil de sécurité deviendraient tous électifs, augmenteraient en nombre et seraient pourvus sur une base régionale. Une telle option, qui présuppose une réelle abnégation politique de la part des cinq membres permanents, est tout aussi difficilement réalisable que les autres. Quoi qu'il en soit, la crise qui déchire la Golfe depuis le 2 août 1990, a mis en évidence le fait que les contraintes qui empêchent la RFA et le Japon de jouer un 14

La S D N avait attribué un siège permanent à l'Allemagne (1926) et, par la suite, à l'URSS (1934). 15 Cette idée a été émise par M . Giulio Andreotti , premier ministre italien et président en exercice du Conseil de la CEE (Le Monde , 20 September 1990).

8 GYIL 34

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rôle international à la mesure de leur poids politique réel ne sont pas d'ordre strictement interne. Leur non-représentation au sein du Conseil de sécurité reflète une situation anachronique dont la prolongation constituera un manque à gagner politique croissant pour les Nation Unies. Quant au mandat du Conseil de sécurité, il est loin d'englober la vaste gamme des problèmes qui menacent la sécurité du monde actuel. Bien que doté de pouvoirs importants, le Conseil ne pourrait être, dans le meilleur des cas, qu'un organe de "sécurité" au sens strictement politique du terme. Comme signalé plus haut, les dimensions non politiques de la sécurité ne sont pas de son ressort, mais de celui d'une multitude d'organes ou d'institutions (Asemblée générale, C N U C E D , F A O ...) agissant en ordre dispersé et sans conception d'ensemble rigoureusement commune. Les causes de cette situation ont avant tout une explication historique. I l convient en effet de rappeler que le Conseil de la S D N avait été doté d'attributions tant dans les domaines économiques et sociaux que dans le domaine de la sécurité. Cette formule fut finalement jugée impropre et même néfaste: en 1939, au vu du naufrage des entreprises politiques de la S D N et de l'essor concomitant de son expérience de coopération économique et sociale, un célèbre groupe d'experts (Comité Bruce) recommanda la séparation des deux types d'activités et la création d'un conseil non politique — le Comité central des questions économiques et sociales.16 Le déclenchement de la Seconde Guerre mondiale empêcha la réforme envisagée de voir le jour. Mais les rédacteurs de la Charte des Nations Unies allaient s'en inspirer directement: d'où la dichotomie de 1945 entre le Conseil de sécurité et l'ECOSOC. Si le bilan de l'entre-deux-guerre témoignait de la nécessité d'opérer une séparation à peu près étanche entre les activités politiques d'une part, et les activités économiques et sociales d'autre part, celui de la période ouverte par la décennie des années 70 va manifestement dans le sens contraire. Par conséquent, le temps semble venu de repenser l'infrastructure institutionnelle des Nations Unies en fonction du concept de sécurité globale . Dans cette optique, on pourrait théoriquement envisager: soit le retour à un Conseil unique, élargi et aux compétences intégrées (option peu agréable aux pays du Tiers monde et d'autant plus inacceptable pour eux qu'elle impliquerait l'introduction du veto au niveau de la gestion des problèmes économiques et sociaux), soit une réforme profonde ayant pour effet de transformer l ' E C O S O C en conseil de sécurité économique et sociale (option dont la matérialisation parait elle aussi, compte tenu de la vanité de toutes les tentatives de réforme de l ' E C O S O C entreprises jusqu'à ce jour, hautement improbable).

16

Cf. document A.23.1939, 22 août 1939.

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V. Les moyens opérationnels de P O N U D u point de vue opérationnel, 1 O N U dispose des ressources juridiques du chapitre V I I de la Charte et des recettes pragmatiques développées à la faveur des opérations de maintien de la paix. Dans le contexte de son renouveau politique, manifeste depuis la fin des années 80, 1 O N U a connu en matière de sécurité (au sens classique et étroit du terme) une double évolution positive marquée par une réactivation des dispositions de la Charte régissant l'action collective et par une mutation qualitative intervenue au niveau des fonctions des opérations de maintien de la paix: — Le conflit Iraq / Koweit a donné à l ' O N U l'occasion de réactiver le chapitre V I I de la Charte que l'on croyait tombé en désuétude. D'août à novembre 1990, le Conseil de sécurité s'est en effet montré pleinement, c'est-à-dire comme jamais auparavant, à la hauteur de sa tâche. D'une part, il s'est distingué par l'extrême rapidité de ses réactions initiales: il a condamné l'invasion du Koweit quelques heures à peine après celle-ci, tout en exigeant le retrait inconditionnel des troupes iraquiennes; 17 constatant que son exigence restait sans effet, il a décrété des sanctions non-militaires 18 appuyées par dix résolutions supplémentaires instituant notamment un blocus naval 19 et un blocus aérien 20 ainsi qu'un délai de grâce (le 15 janvier 1991) avant un éventuel recours à la force. 21 D'autre part, il a manifesté une cohésion politique sans précédent en d'adoptant toutes les résolutions à l'unanimité ou à la quasi-unanimité. 22 Dans la grande tradition de la sécurité collective classique, les résolutions en question ont condamné le pays agresseur dans des termes particulièrement catégoriques et ont conféré au pays victime (l'Etat et le gouvernement du Koweit) une légitimation politique sans réserve. En somme, le Conseil de sécurité s'est manifesté à la fois comme la conscience et comme le bras séculier de la communauté internationale. — En sus de retour (incertain) au paradis perdu du chapitre V I I de la Charte, les opérations de maintien de la paix se sont dévelopées dans une direction imprévue. Formule improvisée à chaud par le Premier ministre canadien lors de la crise de Suez (1956) et aussitôt mise en œuvre avec finesse et imagination par le Secrétaire général Dag Hammarskjoeld, les opérations impliquant l'envoi de "casques bleus" n'avaient initialement qu'un but modeste: celui de maintenir la 17

S/RES/660 du 2 août 1990. S/RES/661 du 6 août 1990. 19 S/RES/666 du 25 août 1990. 20 S/RES/670 du 25 septembre 1990. 21 S/RES/678 du 29 novembre 1990. 22 Résolution 662,664,667,669 et 677: unanimité. Résolution 660: une absence (Yemen); Résolution 661, 665 et 674: deux abstentions (Yemen, Cuba). Résolution 666 et 678: deux voix contre (Yemen, Cuba). Résolution 670: une voix contre (Cuba). Précisons que la Chine s'est abstenue lors du vote de la résolution 678. 18

8*

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paix et non pas l'établir. Forces neutres et non-combattantes, les casques bleus s'apparentaient moins à des gendarmes chargés de réduire un agresseur qu' à des pompiers venus à seule fin de maîtriser un sinistre et l'empêcher d'éclater à nouveau. Or, depuis 1990, et comme vient de le souligner le Secrétaire général de l ' O N U , celle-ci a été amenée à entreprendre "diverses opérations visant à ménager des transitions pacifiques dans des sociétés déchirées par des conflits dans des conflits ou des soulèvements. Etant donné leur but, ces opérations se sont présentées sous des aspects si divers et ont combiné de telle façon activités de maintien et de rétablissement de la paix qu'elles ont modifié la conception traditionnelle des relations entre ces deux types d'activités". 23 Le G A N U P T (Groupe d'assistance des Nations Unies pour la période de transition en Namibie) et l ' O N U V E N (Mission d'observation des Nations Unies pour la vérification des élections au Nicaragua) ont été l'expression concrète de ces opérations de deuxième génération. Les Etats membres de l ' O N U envisagent maintenant d'attribuer à celles-ci des nouvelles fonctions telles que la surveillance d'élections libres, l'administration d'un Etat souverain, la vérification de l'application d'accords multilatéraux, la prévention de la piraterie nucléaire, la lutte contre le terrorisme et le trafic de la drogue ou l'aide aux Etats victimes de catastrophes. 24 En somme, le renforcement de l ' O N U semble devoir passer, notamment, par l'utilisation des potentialités encore inexploitées de certains organes tels que le Comité d'Etat-major et par l'institutionnalisation des opérations de maintien de la paix au sein de ce qui pourrait constituer un "chapitre V I bis" de la Charte.

V I . En guise de conclusion: Les rapports O N U / C S C E Quelle que soit la réalité ou la pérennité de sa réactivation politique, l ' O N U ne doit guère se dissimuler qu'un pan entier des relations internationales actuelles lui reste pour ainsi interdit: depuis la guerre froide et — paradoxalement — davantage encore depuis la détente des années 70, les rapports Est-Ouest échappent de fait à sa juridiction. La gestion de ces rapports constitue un domaine réservé aux deux super-puissances d'une part et à la Conférence sur la sécurité et la coopération en Europe (CSCE) d'autre part. Celle-ci, il est vrai, ne s'est jamais présentée comme une concurrente de l'organisation mondiale: elle a toujours veillé à proclamer l'engagement de ses Etats participants aux buts et principes de la Charte ainsi qu'à associer le système des Nations Unies à ses propres activités. La CSCE n'est pas plus une alliance régionale (comme l ' O T A N ou le Pacte de Varsovie) qu'une organisation de coopération régionale (comme l ' O U A ou l'OEA). Cette institu23

Document A/45/1, 4. Cf. le Rapport du Comité spécial des opérations de maintien de la paix, document A / 45/330, 12 juillet 1990, 19, 20. 24

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t i o n sut generis r é u n i t cependant en son sein 34 pays, d o n t les Etats les plus riches d u m o n d e (abstraction faite d u Japon) et quatre des c i n q membres permanents d u C o n s e i l de sécurité. Par ailleurs, c o m m e celui de 1 O N U son p r o g r a m m e de travail s'étend d u désarmement aux d r o i t s de l ' h o m m e en passant (entre autres) par l'écologie, le commerce o u la c u l t u r e . 2 5 A l'issue d u S o m m e t des chefs d ' E t a t et de gouvernement t e n u à Paris en n o v e m b r e 1990, la C S C E — jusque-là processus p r a g m a t i q u e sans secrétariat fixe n i réunions à p é r i o d i c i t é fixe — été i n s t i t u t i o n n a lisée: elle dispose m a i n t e n a n t , n o t a m m e n t , d ' u n Secrétariat (léger), d ' u n C o n s e i l des M i n i s t r e s des Affaires étrangères et d ' u n C e n t r e de p r é v e n t i o n des conflits. I l y a là u n e m b r y o n sans d o u t e modeste, mais néanmoins préfigurateur de l'avènement possible d ' u n e i n s t i t u t i o n de sécurité N o r d - N o r d d ' u n genre nouveau — i n s t i t u t i o n d o n t le développement effectif l i m i t e r a i t la j u r i d i c t i o n p o l i t i q u e de l ' O N U aux rapports N o r d - S u d et Sud-Sud.

Summary"" Parallel to the fading away of the Cold War, the United Nations has been enjoying a political revival mainly illustrated by the adoption of a cease fire in the Iraq / Iran Gulf crisis, the signature of the Geneva agreements on Afghanistan, the independence of Namibia and the Security Council's sanctions against Iraq. But notwithstanding the end of the "megaconflict" between East and West, the present world is still less than idyllic: old threats persist and new qualitative ones emerge; both are seriously clouding the political firmament of the Nineties. 1. The Threats to Security The first threat is related to so-called "regional conflicts" — that is, conflicts arising out of endogenous regional tensions magnified by extraneous stakes connected w i t h the superpowers' planetary rivalry. The disappearance of such a rivalry is a necessary but insufficient condition for the resolution of regional conflicts. The latter are likely to persist for an undetermined period and their endurance harms regional peace, international global stability and the United Nations' prestige. Amongst all other current regional conflicts, the one related to the annexation of Kuwait by Iraq deserves special attention because it is the product of something beyond standard aggression. Indeed, Iraq has violated one of the few existing taboos of post-1945 international relations: total annexation of a sovereign member State of the U N . Annexation is certainly — and unfortunately — not an unusual act in the contemporary international system. But since 1945 it has only concerned non-autonomous territories (Western Sahara, Timor) or parts of existing Nation States (Syria's Golan, Chad's Aouzou strip) whose existence as such was not challenged. What happened t o 25

Pour plus de détails, voir notre ouvrage: La diplomatie de la détente. La CSCE, d'Helsinki à Vienne (1973-1989), Bruxelles 1989, xvii — 444. * A l l references are provided within the article — Ed.

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Kuwait is fundamentally different: for the first time since 1945 (and actually since the Thirties), the international community witnessed the total suppression of a sovereign State by means of brutal and unprovoked use of force. In addition to such an unlawful act, Iraq has also committed large-scale and systematic violations of fundamental principles of humanitarian law (by using foreign civilians as "human military shields"), of human rights (abuses against the Kuwaiti population and arbitrary detention of foreign citizens) as well as violations of consular and diplomatic international law (hindrance to the functioning of consulates and embassies in Kuwait). I n a nutshell, Iraq undermined the fundamental norms of behavior within a whatsoever civilized international community and the very notion of a minimum international order. The second threat has to do w i t h regional proliferation of mass destruction weapons purporting the dreadful scenario of a possible use of such weapons not only as a deterrent, but also as actual combat means. The progress of proliferation within the T h i r d World could be explained by many factors, but among which arms trade and transfers are heavily instrumental. The third threat encompasses global transnational issues such as terrorism, drug trafficking, environmental disasters, massive migration movements, hunger, etc. Security is no longer limited to political and military fields. I t is inseparable from the evolution of international and transnational economic, social and humanitarian relations. National security and international security are more and more closely intertwined. Given all those existing and potential threats, to what extent is the United Nations Organization adequately equipped — from a conceptual, institutional and operational point of view — to provide meaningful responses?

2. The Conceptual Problem The U N approach to security presents two main shortcomings. First, the regime of the U N Charter rests upon a traditional approach which associates "security" w i t h "peace" — and also w i t h "justice" (the latter being a reference inspired by the sad memory of the 1938 Munich settlement). In the framework of this approach, security is viewed as a problem of a political and military nature. The relevant provisions of the Charter have been precisely designed to cope w i t h any "threat to the peace", "breach of the peace" and, above all, "act of aggression" (Chapter V I I ) . I n other words, security aims at the protection of the (sacral) territory of N a t i o n States against unlawful use of force. Consequently, the problem of security is limited to political conflict prevention and resolution either by peaceful means or by means of coercive collective action. Second, disarmament issues and economic, social and humanitarian issues are — so to speak — treated for their own merits, rather than as natural components of an integrated security approach. In the field of disarmament the U N mainly performs discussion functions (within many fora: the 1st committee and extraordinary sessions of the General Assembly, Disarmament Commission, Ad hoc Committee to the Conference on Disarmament) and think-tank functions (New York specialized Department and the Geneva-based U N I D I R ) ; actual negotiations are being conducted within the Geneva Conference on Disarmament (a body linked to but nevertheless autonomous from the U N ) and the Vienna Conference on Conventional Armed Forces in Europe — not counting bilateral US/USSR

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fora (SALT and, now, S T A R T ) . As to economic , social and humanitarian co-operation , it is tackled within several competing U N bodies as well specialized agencies w i t h no direct link to the traditional security issues falling under Security Council jurisdiction. According to the U N Charter the rationale of co-operation in such fields is the "creation of conditions of stability and well-being which are necessary for peaceful and friendly relations among nations . . . " (Art. 55). I n other words, co-operation is supposed to bring an indirect contribution to international security — but is not considered as encompassing a cluster of issues liable to constitute direct security threats. The definition and adoption of a multifaceted and integrated U N approach to security — whether under the form of a resolution, declaration or, even, a Charter amendment — would, thus, be timely.

3. The Institutional

Problem

Two shortcomings also exist at this level. O n the one hand, the membership of the Security Council — as far as permanent representation is concerned — is not fully representative of the realities of power in the present international system. In connection w i t h this, the non-representation of Germany and Japan is a sheer anomaly, particularly as the Cold War has now come t o an end. Conceivably, one could think of three major theoretical options. O p t i o n 1 could be to follow the precedent offered by the League of Nations by appropriately raising the number of permanent seats. But this would seriously anger those T h i r d W o r l d countries who are utterly dismissive vis-à-vis the very idea of non-elective representation of States; at the same time, this could open a pandora's box of regional powers' claims for permanent seats — either in their proper name or on behalf of the T h i r d World. A more elegant formula could be option 2, providing for the allocation of the French and British permanent seats respectively to the EEC (thus including Germany) and Japan. But the Charter does not authorize collective representation of States; moreover, it is hard to believe that France and the U K would give up their individual veto right inherent to their Security Council permanent representation; finally, the perspective of a genuine EEC common foreign policy remains quite remote. As to option 3, it could apply to the Security Council the new working rules adopted in 1986 for the Governing Body of the International Labor Organization — no more permanent seats, a larger number of seats, and the distribution of all seats on a regional basis (between regions and among regions); but here again, it is extremely dubious that the five permanent members would abdicate their special status and related privileges. However that may be, the aggression of Iraq against Kuwait has clearly demonstrated that some of the major factors constraining Germany and Japan from playing a full rôle — commensurate to their actual power — are not all of a domestic nature; the continued exclusion of those two countries from membership constitutes a liability for the U N in the field of security. O n the other hand, there is nothing within the U N more or less equivalent to an "Economic, Social and Humanitarian Security Council". As previously mentioned, the Security Council has no grasp of, and even less control over those matters; at best, it could only act as a political security body. As to E C O S O C , it is certainly the less effective principal organ of the U N (not counting the Trusteeship Council whose raison d'etre vanished w i t h the extinction of the trusteeship regime). The rationale for a rigid separation

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between political security and non-political security matters could be traced back to the Thirties, when a group of experts (Bruce Committee) recommended — in 1939 — that each type of activity be placed under the supervision of parallel distinct bodies. The League of Nations did not have the opportunity to implement the "Bruce Reform", but the latter influenced the U N ' s founding fathers who, consequently, set up the Security Council and E C O S O C . If a clear-cut division between security and "non-security" matters could be justified in the interwar years for reasons pertaining to political conjuncture, this is definitely not the case now. So today there is a narrow choice between enlarging the Security Council's mandate to non-security issues or to reform E C O S O C in view of its transformation into a kind of "security council". Unfortunately, both alternatives are politically unacceptable, either for the T h i r d W o r l d (adamant towards the introduction of a veto in economic, social and humanitarian affairs) or for the developed countries (lest of being outvoted in such crucial fields).

4. The Operational Problem As far as political security is concerned, the Security Council could make better use of its collective security mechanism (Chapter V I I ) and its peace-keeping devices. Iraq's aggression against Kuwait gave the Security Council an outstanding opportunity to reactivate the Chapter V I I mechanism — which was considered obsolete by many experts. The Security Council reacted w i t h unprecedented speed and in the most vigourous manner by passing resolutions, including the adoption of non-military sanctions (S/RES/ 661, 6 August 1990) supplemented by a naval blockade (S/RES/666, 25 August) and air blockade (S/RES/670, 25 September). I t is to be noted that those texts were voted with the concurrent voices of the Big Five; six resolutions out of 10 were passed unanimously (or w i t h very few abstentions). As for the peace-keeping operations, the very nature of their objectives and methods has been undergoing a significant change in 1990 — a change hall-marked by the G A N U P T (Namibia) and the O N U V E N (Nicaragua) experiences. New functions to be entrusted to the "blue helmets" could possibly include: supervision of free elections, administration of a sovereign State, verification of implementation of multilateral agreements, prevention of nuclear piracy, fight against drug trafficking and terrorism, humanitarian help to victims of major natural disasters, etc.

Conclusion: The U N and the CSCE However, the U N revival as a security body may be, a whole and major set of present international transactions will continue to remain out of its grasp: East-West relations. Since the detente years, East-West relations are being managed bilaterally by the two superpowers and multilaterally by the CSCE. The latter is not supposed to be a competitor for the U N : its Participating States have always reaffirmed their adherence to the goals and principles of the Charter, while regularly associating U N bodies to their meetings and activities. Nevertheless, it should not be overlooked that the CSCE includes four (out of five) permanent members of the U N Security Council and that its programme extends from disarmament t o human rights — including (amongst others) economic co-operation,

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environmental issues as well as information, culture and education. Initially, and for 15 years, the CSCE performed pragmatically as an ongoing negotiating process w i t h unperiodic meetings served by ad hoc rotating secretariats. Since the "Charter of Paris for a New Europe" (21 November 1990), the CSCE has been endowed w i t h new structures — such as a standing secretariat, a regular political consultation mechanism (summit meetings, Council of Foreign Ministers, Committee of Senior Officials) and a Conflict Prevention Centre. A l l these are very modest but nevertheless promising features of a possible transregional security regime which could theoretically limit the U N ' s jurisdiction to North-South and South-North issues.

Der KSZE-Mechanismus zur friedlichen Regelung von Streitfällen Von Hartmut Hillgenberg"*

I. Einleitung Die tiefgreifende Spaltung Europas in militärische und wirtschaftliche Blöcke ist weitgehend überwunden. Die Herstellung der Einheit Deutschlands ist der für uns sichtbarste Ausdruck dieser Veränderung. Ebenso dramatisch ist die Hinwendung der mittel- und osteuropäischen Staaten zu den Prinzipien von Demokratie, Pluralismus und Rechtsstaat. Die Entwicklung geht einher mit dem Wiederaufleben von Hoffnungen einer Vielfalt von Völkern und Minderheiten und mit tiefgreifenden wirtschaftlichen Problemen bei der notwendigen Umstellung auf marktwirtschaftliche Verhältnisse. Europa ist in eine Phase großer Veränderungen eingetreten, die — so begrüßenswert sie ist — von neuen Interessengegensätzen und Streitigkeiten begleitet sein wird. M i t dem Anwachsen neuen Konfliktpotentials ist auch die Bereitschaft gewachsen, gemeinsam nach geeigneten Wegen zur Beseitigung von Konflikten und zur Beilegung von Streitigkeiten zu suchen. Das prominenteste Beispiel für den Erfolg dieser Bemühungen ist der Beschluß des KSZE-Außenministerrates zur Einführung eines KSZE-Krisenmechanismus, der im Falle Jugoslawiens bereits Anwendung findet. Ein weiteres Beispiel ist der durch die Außenminister ebenfalls angenommene, auf einem KSZE-Expertentreffen in Valletta im Januar und Februar dieses Jahres ausgearbeiteten KSZE-Streitbeilegungsmechanismus, mit dem sich dieser Beitrag näher beschäftigt.

II. Vorgeschichte der Bemühungen um ein KSZE-Streitregelungsverfahren Die KSZE-Schlußakte hat der Streitbeilegung ein eigenes Prinzip V gewidmet. Sie hat das Ziel der friedlichen Beilegung von Streitigkeiten gegenüber der V N Charta weiter ausgestaltet, das Dilemma zwischen grundsätzlicher Pflicht zur * Dr. H a r t m u t Hillgenberg ist Unterabteilungsleiter im Auswärtigen A m t . Der Beitrag gibt seine persönlichen Auffassungen wieder.

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123

Streitbeilegung einerseits und freier Wahl der M i t t e l andererseits 1 aber nicht lösen können. Selbst für den Fall, daß durch die Fortdauer des Streits der internationale Frieden und die internationale Sicherheit gefährdet werden (Abs. 1 und 5) fehlten dem KSZE-Prozeß bisher Mittel, Streitigkeiten zu untersuchen und Maßnahmen im Interesse der Wahrung von Frieden und Sicherheit zu treffen. Erste Versuche, eine allgemein anwendbare Methode der friedlichen Regelung von Streitfällen zu entwickeln, die über die „freie Wahl von M i t t e l n " hinausführt, waren zunächst von einem Konventionsentwurf ausgegangen, den die Schweiz im September 1973 in der 2. Phase der KSZE-Konferenz vorgelegt hatte (Bindschedler-Entwurf) 2 . Der anspruchsvolle Entwurf mit unterschiedlichen Verfahren für justitiable und nicht-justitiable Streitigkeiten, der in der KSZE-Schlußakte selbst und in dem Schlußdokument des Belgrader Folgetreffens 1977 noch ausdrücklich erwähnt wurde, war Gegenstand eines ersten Expertentreffens zu diesem Thema, das von Oktober bis Dezember 1978 in Montreux stattfand. 3 Insbesondere wegen der mangelnden Bereitschaft osteuropäischer Staaten, über mehr als „obligatorische Konsultationen" als mögliche Methode zu reden, kam es nur zur Annahme eines „gemeinsamen Ansatzes", das heißt, von Grundsätzen wie des subsidiären Charakters, der Flexibilität und der Entwicklungsfähigkeit der noch zu findenden Methode. Aufgrund des auf dem Madrider KSZE-Folgetreffens im September 1983 verabschiedeten Mandats fand dann im März und April 1984 in Athen ein weiteres Expertentreffen statt, auf dem der Bindschedler-Entwurf keine zentrale Rolle mehr spielte. Eine Reihe von Vorschlägen der Zehn, der Neutralen und Nichtgebundenen und der USA war darauf gerichtet, zunächst Grundzüge eines stufenweisen Verfahrens zu finden, das über Verhandlungen hinausführen und in bestimmten Bereichen bis zur schiedsrichterlichen Streitentscheidung führen sollte. Ein Konsens über derartige Regeln war angesichts des Beharrens der osteuropäischen Gruppe auf Konsultationen als einziger „neuer" Methode wiederum nicht erreichbar. Der Satz des Schlußberichts „Besonderer Nachdruck wurde auf M i t t e l und Wege der Einbeziehung eines Drittparteielements in eine derartige Methode gelegt" sollte sich in der Folge aber als fruchtbar erweisen. 1 V o n Christian Tomuschat als „ C r u x des Systems der internationalen Streiterledigung" bezeichnet, siehe A r t . 33, in: Bruno Simma (Hrsg.), Charta der Vereinten Nationen, Kommentar, München 1991, 472-481. 2 Text und Uberblick in: Karin Oellers-Frahm / Norbert Wühler, Dispute Settlement in Public International Law (1984), S. 101 ff.; vgl. im übrigen: Bruno Simma / Dieter Schenk, Friedliche Streitbeilegung in Europa, in: Europa-Archiv (EA) 14 (1978), 419-430; Rudolf L. Bindschedler, Der Schweizerische Entwurf, in: E A 2 (1976), 57-66; Fritz Münch, Zur Schweizerischen Initiative für die friedliche Beilegung von Streitigkeiten in Helsinki und Montreux, in: Emanuel Diez / Jean Monnier / Jörg P. Müller / Heinrich Reimann / Luzius Wildhaber (Hrsg.), Festschrift für Bindschedler, Berlin 1980, 385-405. 3 Zur Bewertung der Treffen von Montreux und Athen: Gerhard Hafner, Bemühungen um ein gesamteuropäisches Streitbeilegungssystem im Rahmen der KSZE, in: Völkerrecht, Recht der Internationalen Organisationen, Weltwirtschaft, Festschrift für Ignaz SeidlHohenveldern, Köln/Berlin/Bonn/München 1988, 147-171.

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Das im Abschließenden Dokument des Wiener KSZE-Folgetreffens vom Januar 1989 (WSD) enthaltene Mandat für ein drittes Expertentreffen nennt neben den in der KSZE-Schlußakte und im Bericht des Treffens von Montreux enthaltenen Ansätzen die grundsätzliche Bereitschaft der Teilnehmerstaaten, im Zusammenhang mit der auszuarbeitenden Methode die obligatorische Hinzuziehung einer Drittpartei zu akzeptieren. Die darin zum Ausdruck kommende Bereitschaft aller Teilnehmerstaaten, einer über Verhandlungen hinausführenden Methode zuzustimmen, war ein erheblicher Fortschritt. Sie ist nur vor dem Hintergrund der Veränderungen in Ost- und Mitteleuropa zu verstehen. Allerdings spiegelt der vorsichtige Ansatz des Mandats, das Prinzip nur schrittweise zu entwickeln und die obligatorische Hinzuziehung einer Drittpartei zunächst auf gewisse Kategorien von Streitfällen zu beschränken, noch die Enttäuschungen des Athener Treffens wider. Die deutsche Delegation hatte damals bereits auf die Nachteile einer Kategorisierung von Streitfällen aufmerksam gemacht, besonders bei Methoden unterhalb der Ebene gerichtlicher und schiedsgerichtlicher Entscheidung. Die grundlegende Verbesserung der politischen Rahmenbedingungen für Fortschritte auch in diesem Bereich zeigte sich dann, als die Staats- und Regierungschefs der damals noch 34 KSZE-Teilnehmerstaaten in der „Charta von Paris für ein Neues Europa" im November 1990 die Bedeutung der friedlichen Streitbeilegung als Element der Friedenswahrung unterstrichen und sich verpflichteten, „nach neuen Formen der Zusammenarbeit in diesem Bereich zu suchen, insbesondere nach einer Reihe von Methoden zur friedlichen Beilegung von Streitfällen, einschließlich der obligatorischen Hinzuziehung einer Drittpartei". Als erstem Treffen nach dem Pariser Sonder-Gipfel kam dem Expertentreffen eine neue Bedeutung zu. Dies traf auch deshalb zu, weil das Pariser Gipfeltreffen Strukturen und Institutionen des KSZE-Prozesses beschlossen hatte, zu deren Aufgaben die Konfliktverhütung und die Konfliktbeilegung gehört, darunter einen Ausschuß Hoher Beamter ( A H B ) und ein Konfliktverhütungszentrum ( K V Z ) , das gemäß Zusatzdokument zur Charta von Paris auch andere Funktionen als die Unterstützung von Maßnahmen im VSBM-Bereich übernehmen kann (und inzwischen übernommen hat).

I I I . Vorbereitung des Treffens i n Valletta (1991) I m Vorfeld des Treffens von Valletta fand, wie üblich, eine Reihe von Konsultationen statt. Die Schweiz legte bereits im Frühjahr 1990 den Entwurf eines Papiers auf der Linie der Vorschläge der Neutralen und Nichtgebundenen in Athen vor. Diese Vorschläge, die im Laufe der Konsultationen verfeinert wurden, sahen eine stufenweise Methode vor, die, ausgehend von Verhandlungen über ein einseitig anrufbares Vergleichsverfahren in bestimmten Bereichen bis zur Schiedsgerichtsbarkeit führen sollte. Die Zusammensetzung der Vergleichskommission bzw. des

Der KSZE-Mechanismus

zur friedlichen

Regelung von Streitfällen

Schiedsgerichts folgte klassischen Mustern (notfalls Ernennung durch den Präsidenten des I G H ) . I m Europarat (Ausschuß der Völkerrechtsexperten), wie auch im Rahmen der Europäischen Politischen Zusammenarbeit, kam ebenfalls relativ frühzeitig eine Erörterung der in Valletta einzuschlagenden Linie in Gang. Hilfreich war ein Seminar, das die Haager Akademie für Internationales Recht im Mai 1990 veranstaltete und an dem auch Völkerrechtsexperten der Außenministerien teilnahmen. Die politische Bedeutung und die Aussichten des Treffens wurden in der Vorbereitungsphase allgemein als hoch eingeschätzt. Angesichts der neuen Möglichkeiten zeigten sich aber auch neue Auffassungsunterschiede, selbst unter den Zwölf. Deutschland, Großbritannien, Benelux und Italien als EG-Präsidentschaft steuerten Vorstellungen bei, die nicht mehr rechtzeitig vor Beginn des Treffens zu einem gemeinsamen Vorschlag der Zwölf vereinigt werden konnten. Diese Vorstellungen reichten von einer neuen Konvention bis zur Schaffung lediglich der Möglichkeit eines freiwilligen Schlichtungsverfahrens. Die deutschen Vorstellungen, wie sie mit den wichtigsten Partnern konsultiert und auch bei einem Kolloquium der Friedrich-Ebert-Stiftung im Dezember 1990 erläutert wurden, basierten auf folgenden Grundgedanken: — Der Ansatz einer Verbesserung bereits bestehender rechtlich verbindlicher Verfahren durch Ausarbeitung einer neuen Konvention ist nicht ausreichend. Das Problem besteht weniger im Nichtvorhandensein geeigneter weltweiter oder regionaler Ubereinkommen (vgl. Statut des Internationalen Gerichtshofs 1945, Haager Abkommen zur friedlichen Erledigung internationaler Streitfälle 1907, Europäisches Ubereinkommen zur friedlichen Beilegung von Streitigkeiten 1957) als in der geringen Bereitschaft der Staaten, diese M i t t e l zu nutzen. — Für Fälle, in denen der politische Wille fehlt, sich rechtlich bindenden Verfahren zu unterwerfen, sei es, weil sich der Streit für derartige Verfahren nicht eignet, sei es, weil die Parteien eine rechtliche Bindung hinsichtlich des Verfahrens oder seines Ergebnisses nicht eingehen wollen, bedarf es einer subsidiären Methode stärker politisch orientierter Konfliktlösung. — Die Schaffung neuer KSZE-Institutionen wie insbesondere des A H B und des K V Z läßt zum ersten Mal eine institutionelle Anknüpfung der in der KSZESchlußakte vorgesehenen „allgemein annehmbaren Methode der friedlichen Regelung von Streitfällen" an den KSZE-Prozeß zu mit Aussicht auf Stärkung der Institutionen als Teil der neuzuschaffenden europäischen Friedensordnung. Die USA zeigten vorsichtiges Interesse an dem Gedanken einer subsidiären, KSZE-spezifischen Methode, betonten allerdings die Vielzahl der in der Praxis bereits zur Anwendung kommenden Verfahren. 4 4

Sie bezogen sich ebenso wie Großbritannien formal auf den in der Charta von Paris verwandten Begriff der (zu suchenden) „Reihe von Methoden" („range of methods") im Gegensatz zum Mandat des W S D , das von „eine(r) allgemein annehmbaren Methode" („a generally acceptable method") spricht.

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IV. Verlauf des Expertentreffens in Valletta Das Treffen begann am 15.1.1991 in einer positiven Grundstimmung. Es war gleichzeitig aber überschattet von der sich zuspitzenden Golfkrise und dem Einsatz sowjetischer Truppen in Litauen. Diese Ereignisse, insbesondere die in den KSZE-Kontext gehörenden Vorgänge im Baltikum, wurden im Laufe des Treffens mehrfach deutlich angesprochen, ohne daß dies jedoch die sachliche Arbeit blockiert hätte. (Dies ist ein erneuter Präzedenzfall dafür, daß jedes KSZE-Treffen geeignet ist, laufende Fragen anzusprechen.) Die Delegationen waren mehrheitlich zusammengesetzt aus den Leitern der Rechtsabteilungen der Außenministerien (oder ihren Vertretern) sowie aus KSZE-Experten dieser Ministerien. Einige Delegationen, so auch die deutsche, wurden von einem(r) Völkerrechtswissenschaftler(in) beraten. Die Schweiz brachte sehr früh zusammen mit Osterreich, der CSFR, Polen und Zypern ihren bereits skizzierten Vorschlag 5 ein. Der Vorschlag wurde als hilfreich begrüßt und blieb während der gesamten Dauer des Treffens der wichtigste Bezugspunkt. Es kam aber auch zum Ausdruck, daß ihn viele Delegationen in der Substanz für maximalistisch und im Hinblick auf neue Entwicklungen der KSZE für zu „unpolitisch" hielten. Dies t u t der Tatsache keinen Abbruch, daß die Schweiz im Verlaufe des Treffens dazu beigetragen hat, das Verfahren erheblich zu verbessern. I m Zuge der Eingangserklärungen setzte sich die Erkenntnis durch, daß zumindest im gegenwärtigen Zeitpunkt das Ziel in einem politisch verbindlichen KSZEDokument bestehen müsse, während das von einigen Delegationen verfolgte Ziel einer Konvention vorerst zurückgestellt werden könne. Es gab in der Folge einen Vorschlag Großbritanniens, 6 der auf einem im Rahmen der Vorbereitung des Pariser Sonder-Gipfels vorgelegten Arbeitspapier zur Streitbeilegung im Bereich des Minderheitenschutzes basierte und innerstaatliche britische Erfahrungen im Bereich von Arbeitsstreitigkeiten für den zwischenstaatlichen Bereich nutzbar machen sollte. Der Vorschlag beinhaltete einen freiwilligen Schlichtungsmechanismus ohne einseitige Anrufbarkeit. I m Hinblick darauf, daß das Mandat des W S D „ i m Prinzip" die obligatorische Beteiligung einer Drittpartei vorsieht, machte die britische Delegation deutlich, daß ihre Vorschläge Teil eines umfassenden Mechanismus sein könnten, der auch obligatorische Elemente enthält. Die deutsche Delegation hat, unterstützt insbesondere durch Italien, frühzeitig einen zunächst informellen Vorschlag zum zentralen Methodenteil eingebracht, in dem versucht wurde, konsensfähige materielle Regeln mit einer Konkretisierung 5 6

CSCE/PSDV. 1. CSCE/PSDV. 2.

Der KSZE-Mechanismus

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Regelung von Streitfällen

der Aufgaben der neugeschaffenen KSZE-Institutionen zu verbinden. 7 Der Vorschlag verwertete in Teilbereichen den von Frankreich bei der Vorbereitung des Pariser Sonder-Gipfels im Oktober 1990 gemachten Vorschlag eines „ H a u t Conseil". Er sah vor: — Formalisierte Verhandlungen zur Feststellung, ob die Parteien sich auf eine Streitbeilegungsmethode einigen können. — Bei Scheitern dieses Versuchs direkter Zugang einer Partei zum A H B , wenn es sich um Streitigkeiten von Bedeutung für Frieden und Stabilität in der Region handelt. — In jedem Fall bei Scheitern der Verhandlungen einseitige Anrufbarkeit einer ad hoc-Schlichtungskommission, deren Mitglieder bei Nichteinigung der Parteien durch eine KSZE-Institution von einer Liste geeigneter Persönlichkeiten ausgewählt werden. — Als Aufgabe der Kommission zunächst die Prüfung, ob ein Streitfall gegeben ist und ob die Parteien die Verhandlungsmöglichkeiten ausgeschöpft haben. Wenn dies der Fall ist, Vorschläge prozeduraler und ggf. materieller A r t , die nicht obligatorisch sind. — I m Falle des Scheitern dieses Schlichtungsverfahrens Möglichkeit jeder Partei, den Streit vor den A H B zu bringen. Diese Vorstellungen fanden weitgehende Zustimmung und sind in die Arbeiten des Koordinators eingeflossen, ebenso wie Vorschläge der USA einer Förderung von Verhandlungen durch Vermittlung 8 und stärker als durch den spät eingebrachten französischen Vorschlag 9 eines aus Mitgliedern einer Liste ( „ H a u t Conseil") auszuwählenden Gremiums („tiers CSCE"), das den Parteien Vorschläge zur Drittbeteiligung, etwa in der Form von Untersuchungs-, Vermittlungs- oder Vergleichsverfahren machen und auf Wunsch der Parteien auch die Mitglieder der betreffenden Kommissionen benennen, selbst aber bei der eigentlichen Streitbeilegung nicht tätig werden sollte. Weitere Vorschläge Großbritanniens 1 0 und der Niederlande 11 betrafen Teilbereiche, nämlich den Einführungsteil und die Inanspruchnahme der Einrichtungen des Haager Ständigen Schiedshofs. Eine längere prinzipielle Erörterung dieser Vorschläge wurde angesichts der gegenüber Montreux und Athen auf vier Wochen verkürzten Dauer des Expertentreffens vermieden. Stattdessen wurde die Aufgabe der Ausarbeitung des Schlußdokuments bereits nach der zweiten Woche Koordinatoren übertragen, die ermächtigt wurden, ihre Arbeitsmethode selbst festzulegen. Dies hat sich als 7

Vgl. später formalisierter Vorschlag CSCE/PSDV. 6. CSCE/PSDV. 3. 9 CSCE/PSDV. 4. 10 CSCE/PSDV. 5. 11 CSCE/PSDV. 7. 8

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außerordentlich wirkungsvoll erwiesen. Koordinator des wichtigsten Methodenteils wurde der Norweger Tresselt. Dies war wohl das erste Mal, daß der Vertreter eines NATO-Landes durch die 34 mit einer derartigen Konferenz-Aufgabe betraut wurde. Koordinator des Prinzipienteils wurde der Schwede Correll, während die Gesamtredaktion dem Maltesen Vella als Vertreter des Gastgeberlandes zufiel.

V. Ergebnisse des Expertentreffens 12 1. Grundzüge Der Werdegang der einzelnen Ergebnisse läßt sich hier nur in groben Zügen nachzeichnen. Während der Prinzipienteil VN-Dokumente wie die Erklärung über freundschaftliche Beziehungen von 1970, die Manila-Erklärung von 1982 und die Erklärung des VN-Charta-Sonderausschusses über die Verhütung und Beseitigung von Streitigkeiten und Situationen, die den Weltfrieden und die internationale Sicherheit bedrohen können, von 1988 verwertet, enthält der Methodenteil als Kernstück des Berichts einen völlig neuen Ansatz. Grundgedanke der im folgenden noch näher zu beschreibenden Methode ist die Unterstützung der Streitparteien durch ein flexibles, aber beharrliches Einwirken. Ein solches Verfahren ist vor allem in politisch heiklen Auseinandersetzungen häufig eine wirksamere und für die Staaten akzeptablere Methode als die Übertragung von Entscheidungsbefugnissen an eine Drittinstanz. Dieser Ansatz der Methode entspricht im übrigen auch den traditionellen Eigenheiten des KSZE-Prozesses, der auf Fortschritt durch Konsens in Bereichen ausgerichtet ist, die sich vorerst vertraglicher Bindung entziehen. Grundcharakter der neuen Methode ist auch, daß sie subsidiär ist, bestehende stringentere Verfahren also unberührt läßt, dafür aber „allgemein" in dem Sinne ist, daß sie auf jede A r t zwischenstaatlicher Streitigkeiten politischer oder rechtlicher A r t Anwendung findet. Sie stellt also ein „Sicherheitsnetz" dar, das immer zur Anwendung kommen kann, wenn andere M i t t e l fehlen. Wichtig ist schließlich, daß die Methode einseitig in Gang gesetzt werden kann, also in dem Sinne obligatorisch ist, daß sie ein prozedurales Einverständnis aller Streitparteien nicht erfordert. Die Streitparteien behalten also zwar die freie „Wahl der M i t t e l " . Wenn sie sich aber nicht vorab über ein Verfahren einigen können, bedeutet dies kein Scheitern der Bemühungen um eine friedliche Streitbeilegung, sondern nur, daß nunmehr jede Seite die KSZE-Streitregelungsmethode in Gang setzen kann. 12

Vgl. auch die Bewertung durch Karin Oellers-Frahm, Die obligatorische Komponente in der Streitbeilegung im Rahmen der KSZE, Zeitschrift für ausländisches öffentliches Recht und Völkerrecht 51 (1991), 71-93.

Der KSZE-Mechanismus

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2. Die Methode im einzelnen I m Vergleich zu den erwähnten Vorschlägen und auch zum Prinzipienteil fällt auf, daß der Verfahrensteil sehr knapp gehalten ist. Dem lag das Bemühen des Koordinators zugrunde, Kontroversen zu begrenzen und das Verfahren flexibel zu halten, ohne ihm jedoch die notwendige Präzision im Sinne einer unmittelbaren Anwendbarkeit der Regeln zu nehmen. a) Vorliegen eines Streitfalles Die Abschnitte I ff. machen deutlich, daß die Anwendung der Regeln das Bestehen eines Streitfalles voraussetzt, also eine Streitigkeit mit einem konkreten Streitgegenstand. Der Streitfall muß zwischen KSZE-Teilnehmerstaaten bestehen. Es darf sich also nicht lediglich um innerstaatliche Streitigkeiten handeln, wobei aber innerstaatliche Entwicklungen wie zum Beispiel Minderheitenprobleme durchaus Gegenstand eines zwischenstaatlichen Streites sein können. Die Regeln enthalten entgegen dem deutsch-italienischen Vorschlag keine ausdrückliche Bestimmung, daß das Streitregelungsgremium zunächst prüft, ob ein Streitfall vorliegt. Die Prüfung dieser Verfahrensvoraussetzung ist aber bei einer einseitigen Anrufbarkeit des Mechanismus zur Vermeidung von Mißbräuchen geboten. Ihre Notwendigkeit kann auf die Überschrift und Abschnitt I ff. („Beilegung von Streitigkeiten", „ E n t s t e h t . . . ein Streitfall") gestützt werden. Die Anwendbarkeit der Regeln ist nicht auf bestimmte Kategorien von Streitfällen begrenzt. Die Regeln variieren auch nicht je nach A r t des Streitfalles, insbesondere nicht, je nachdem ob es sich um politische oder rechtliche Streitigkeiten handelt. Sie sind also universal im Sinne des WSD, das „eine allgemein annehmbare Methode" fordert. b) Konsultationen und Verhandlungen Die Streitparteien müssen zunächst versuchen, sich durch direkte Konsultationen oder Verhandlungen über ein Verfahren zur Streitbeilegung zu einigen (Abschnitt I). Hierfür kann jede Seite eine angemessene Frist beanspruchen (Abschnitt II). Der Vorschlag, hierfür eine feste Frist vorzusehen, wurde im Hinblick auf die unterschiedlichen Bedingungen eines jeden Streitfalles nicht für zweckmäßig gehalten. Aus dem Erfordernis der Ausschöpfung der bilateralen Möglichkeiten ist nicht zu folgern, daß eine Streitpartei eine Beteiligung verweigern kann, wenn sie anders als die Partei, die den Mechanismus anruft, der Auffassung ist, die Verhandlungen müßten zunächst ohne Drittbeteiligung fortgesetzt werden. Vielmehr sind Abschnitte I V und V I I I so auszulegen, daß es dem Mechanismus überlassen bleibt zu prüfen, ob er zunächst eine Fortsetzung der Konsultationen / Verhandlungen

9 GYIL 34

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empfiehlt. Der deutsch-italienische Vorschlag war zwar hier genauer, indem er dem Gremium zunächst eine Prüfung der Ausschöpfung des Verhandlungsweges vorschrieb. Der Ansicht, daß eine Berufung auf eine fehlende Ausschöpfung des Verhandlungsweges kein M i t t e l sein dürfe, die einseitige Anrufbarkeit des Mechanismus lahmzulegen, wurde aber in den Beratungen nicht widersprochen. c) Unmittelbarer Zugang zum A H B Abweichend von der allgemeinen Regelung des Verhältnisses der neuen KSZEMethode zu anderen Verfahren innerhalb und außerhalb der KSZE im Sinne der Subsidiarität der neuen Methode (s. u. Ziff. g)), bestimmt Abschnitt I I , daß „jede Streitpartei einen Streitfall, der für Frieden, Sicherheit oder Stabilität unter den Teilnehmerstaaten von Bedeutung ist", dem Ausschuß Hoher Beamter unterbreiten kann. Die genannten Voraussetzungen sind, wie sich auch aus dem W o r t „oder" ergibt, alternativ und nicht kumulativ gemeint. Diese besondere Behandlung von Streitigkeiten, die wegen ihrer Gefährlichkeit von unmittelbarem Belang für alle Teilnehmerstaaten sind, geht über die Ebene bilateraler Verhaltenspflichten, wie sie in Prinzip V der KSZE-Schlußakte aufgeführt sind, hinaus. Als weitere Möglichkeit einer Befassung des A H B mit solchen Situationen haben die Außenminister am 19./20.6.1991 einen „Mechanismus für Konsultationen und Zusammenarbeit in dringlichen Situationen" beschlossen, der aufgrund Ersuchens eines Staates zu einer Dringlichkeitssitzung des A H B führt, wenn zwölf Teilnehmerstaaten das Ersuchen unterstützen. Er ist im Falle Jugoslawiens bereits zur Anwendung gekommen. Diese Neuregelungen stellen wichtige Ansätze für eine Entwicklung der KSZE zu einer regionalen Einrichtung zur Beilegung von Streitigkeiten im Sinne von Kap. V I I I der VN-Charta dar. Eine solche Entwicklung ist ohne Einschränkung des bisher in der KSZE herrschenden Konsensprinzips nicht möglich. So wird im Rahmen des Dringlichkeitsmechanismus das Konsensprinzip dadurch durchbrochen, daß zur Befassung des A H B die Zustimmung von zwölf Teilnehmerstaaten genügt. Die im Rahmen des VallettaMechanismus vereinbarte Möglichkeit „jeder Streitpartei", einen Streitfall dem A H B zu unterbreiten, sollte dahingehend auszulegen sein, daß ein Veto der anderen Streitpartei eine Aufnahme in die Tagesordnung des A H B nicht hindern kann. I m übrigen muß die Praxis entscheiden, ob allein der Antrag genügt, oder ob entsprechend der Regel beim Dringlichkeitsmechanismus zwölf weitere Staaten einer Behandlung im A H B zustimmen müssen.

d) Der „Mechanismus" Die Bezeichnung eines Gremiums als „Mechanismus" ist zu recht kritisiert worden. Sie wurde als Notlösung angenommen, nachdem Bezeichnungen wie „Ausschuß", „Kommission" oder „panel", die auf eine Zusammensetzung aus

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notwendigerweise mehr als einer Person hindeuten, von den USA nicht akzeptiert wurden. Die Entscheidung, kein ständiges Gremium zu schaffen, sondern den Streitregelungsmechanismus jeweils ad hoc aus einer ständigen Liste von Persönlichkeiten auszuwählen, die von den Teilnehmerstaaten nominiert werden (Abschnitt V Ziff. 1), folgt deutsch-italienischen, amerikanischen, britischen und französischen Vorstellungen. Sie enthält, anders als der Schweizer Vorschlag, der eine Zusammensetzung auf der Basis einer Einigung der Parteien und notfalls einer Entscheidung des Präsidenten des I G H vorsah, ein weiteres Element der Institutionalisierung einer eigenen KSZE-Streitregelungsmethode. Weitaus schwieriger waren die Beratungen über Zahl und Modalitäten der Auswahl der Mitglieder des Gremiums für den Fall, daß sich die Streitparteien nicht einigen. Während einige Teilnehmer von dem Modell einer Kommission ausgingen, vertraten die USA energisch das ihrer Praxis mit Nachbarstaaten entnommene Modell eines individuellen Vermittlers. Dies geschah wohl auch, um jeden Eindruck einer Unterwerfung unter eine von den Parteien unabhängige Instanz zu vermeiden. Umstritten und für die Frage der Wirksamkeit der Methode auch im Falle der Weigerung einer Streitpartei von großer Bedeutung war außerdem die Frage, inwieweit die Zusammensetzung des Mechanismus die Zustimmung der Streitparteien finden muß. Es gab Befürworter einer Zusammensetzung aus je einem Vertreter der Streitparteien und einer Anzahl durch eine Institution zu ernennender „neutraler" Mitglieder (Schweiz, Deutschland, USA), Befürwortereines automatischen Auswahlverfahrens aus der Liste und durch Entscheidungen mit Los (Frankreich) sowie Befürworter nur eines Auswahlvorschlags an die Parteien (Großbritannien). Die gefundene Lösung (Abschnitt V Ziff. 2 bis 5) enthält einen auf Vorschläge der Neutralen und Nichtgebundenen zurückgehenden Kompromiß dergestalt, daß die Institution „weniger als sechs" Mitglieder ernennt, von denen die beiden Streitparteien innerhalb einer Frist je bis zu drei Mitglieder abwählen können. Wenn dies zur Abwahl aller Mitglieder führt, ernennt die Institution in einem zweiten Schritt fünf neue Mitglieder, von denen beide Parteien je nur noch eine Person ablehnen können. Diese Regelung führt dazu, daß die Institution, wenn sie nicht in vorherigen Konsultationen mit den Streitparteien eine andere Lösung gefunden hat, zunächst in der Regel fünf Mitglieder ernennen wird. Bei der Frage der Ausnutzung der Abwahlmöglichkeit wird dann jede Streitpartei, wenn sie als erste handelt, das voraussichtliche Verhalten der anderen Partei berücksichtigen. Wenn sie drei oder zwei Mitglieder abwählt, hat die andere Partei die Möglichkeit, nur noch ein ihr genehmes Mitglied als endgültigen „Mechanismus" zu belassen oder eine Neuernennung zu erzwingen. Wenn die zuerst handelnde Partei nur ein Mitglied oder

9*

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zwei Mitglieder abwählt, kann sie sicher sein, daß von den übrigen Mitgliedern ein oder zwei den Mechanismus bilden. I m zweiten Wahlgang (Abschnitt V Ziff. 5) ist durch die Vorschrift, daß fünf Mitglieder ausgewählt werden müssen und davon nur jeweils ein Mitglied abgewählt werden kann, sichergestellt, daß der Mechanismus mindestens aus drei Mitgliedern besteht. Auch dies werden die Parteien in der ersten Abwahlphase berücksichtigen. Ungelöst und damit der weiteren Entwicklung überlassen sind die Frage der Zusammensetzung des Mechanismus bei mehr als zwei Streitparteien sowie die Frage einer Drittintervention geblieben. Die damit zusammenhängenden Probleme wurden als zu kompliziert angesehen, um sie auf dem kurzen Treffen ebenfalls noch lösen zu können. Was das Verfahren des Mechanismus angeht, so ist davon auszugehen, daß er mit einfacher Mehrheit entscheidet. Bei dem vorgesehenen Abwahl-System ist nicht sichergestellt, daß nicht durch eine gerade Zahl von Mitgliedern eine PattSituation entsteht. Die Regel, daß im ersten Gang „weniger als sechs" Mitglieder vorgeschlagen werden und im zweiten Gang mindestens drei Mitglieder übrig bleiben, bevorzugt aber eine ungleiche Mitgliederzahl. I m übrigen wird es der ernennenden Institution in ihren Konsultationen gemäß Abschnitt V Ziff. 2 sowie den Streitparteien selbst obliegen, für eine geeignete Zahl von Mitgliedern und ein geeignetes Abstimmungsverfahren zu sorgen. Von Bedeutung ist insofern auch, daß der Mechanismus gemäß Abschnitt V I Ziff. 1 sein Verfahren selbst festlegt, daß die Parteien gemäß Abschnitt X I I I aber die Möglichkeit haben, einvernehmlich Einfluß auf die Verfahrensregeln zu nehmen.

e) Aufgaben des Mechanismus Auch die Regelung der Kompetenzen des Mechanismus trägt Kompromißcharakter. Weitgehendes Einvernehmen herrschte darüber, daß Aufgaben und Verfahrensregeln angesichts des „politischen" Charakters, der allgemeinen Anwendbarkeit und der Neuartigkeit der Methode flexibel gehalten sein müssen, so daß die Besonderheiten der jeweiligen konkreten Situation und zwischenzeitliche Erfahrungen mit der Anwendung der Methode berücksichtigt werden können und damit der evolutive Charakter der Methode erhalten bleibt. I m übrigen reichten die Vorstellungen aber von lediglich einer Beratung der Streitparteien über mögliche Verfahren zur Streitbeilegung bis zur Aufgabe, den Streitfall durch Abgabe eines Votums in der Substanz abzuschließen. Der Ansatz, die Frage der Natur der Vorschläge dem Ausschuß zu überlassen, konnte sich nicht durchsetzen. Die USA schlugen ein Verfahren, getrennt in zwei Stufen, vor, wobei es auf der ersten Stufe nur um Verfahrensanregungen und erst im Falle eines Mißerfolgs auf der zweiten Stufe um eine Vermittlung in der Substanz gehen sollte. Die vereinbar-

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te Methode zeigt den Einfluß dieses amerikanischen Ansatzes. Sie sieht als ersten Schritt vor, daß der Mechanismus den Streitparteien ein geeignetes Verfahren der Streitbeilegung nahelegt, wobei er nicht auf die gängigen, in Prinzip V erwähnten Verfahren beschränkt ist (Abschnitt V I I I ) . Der Vorschlag 13 muß von den Streitparteien geprüft werden. Da dies „ i m Geiste der Zusammenarbeit" geschehen soll, wird man davon ausgehen können, daß sich die allgemeine Pflicht der Parteien, in Verhandlungen nach Lösungsmöglichkeiten zu suchen, auf eine gemeinsame Behandlung des Vorschlags erstreckt. Die Parteien sind aber nicht gezwungen, derartige Verhandlungen vor dem Mechanismus zu führen. Auch ist der Vorschlag in keiner Weise bindend (Schluß aus Abschnitt X). Falls diese Verhandlungen nicht innerhalb einer angemessenen Frist zu einem Ergebnis führen, hat jede Partei die Möglichkeit, den Mechanismus zu unterrichten und den Umstand, auch ohne daß die besonderen Voraussetzungen von Abschnitt I I vorliegen, dem A H B zur Kenntnis zu bringen. Die von Abschnitt I I abweichende Wortwahl („zur Kenntnis bringen", statt „unterbreiten") legt die Auslegung nahe, daß es sich lediglich um eine Mitteilung an den A H B (oder an eine von diesem beauftragte Institution) handelt, die dem A H B die Möglichkeit gibt, von sich aus die Angelegenheit aufzugreifen. Die geschilderte, im wesentlichen auf die Herbeiführung eines Einvernehmens über ein geeignetes Streitbeilegungsverfahren gerichtete Phase führt im Falle ihres Scheiterns innerhalb einer genannten Frist seit Mitteilung des Scheiterns an die andere Streitpartei auf einseitigen Antrag zur Eröffnung einer zweiten Phase, in der sich der Mechanismus der Substanz des Streitfalles zuwendet und Vorschläge zu seiner Beilegung machen kann. Derartige Vorschläge sollen den Parteien helfen, eine Lösung des Streitfalles „ i m Einklang" mit dem Völkerrecht und KSZEVerpflichtungen zu finden. Dies bedeutet nicht, daß Lösungsvorschläge „auf der Basis" des Völkerrechts erfolgen müssen. Soweit das Völkerrecht vereinbarte Abweichungen von (dispositivem) Völkerrecht zuläßt, und erst recht, soweit keine völkerrechtlichen Normen bestehen, kann der Mechanismus auch Lösungen vorschlagen, die sich nicht am Völkerrecht orientieren. Dies kann besonders bei sog. „politischen" Streitigkeiten sachgemäß sein. Die Vorschläge sind, wenn die Parteien nichts anderes vereinbaren (vgl. Abschnitt X I I I Ziff. d)), nicht verbindlich, müssen von den Parteien aber nach Treu und Glauben geprüft werden. Auch hier wird man aus dem Passus „ i m Geiste der Zusammenarbeit" ableiten können, daß jede Partei ihren Pflichten nur genügt, wenn sie bereit ist, über Gründe der Ablehnung mit der Gegenpartei zu sprechen.

13 Der Begriff „Vorschlag" wird hier gewählt, obwohl er trotz Insistierens der Schweiz keine Billigung fand. „Hinweise und Ratschläge" bedeutet m. E. im Ergebnis dasselbe.

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f) Mögliche Einwendungen gegen die Einsetzung des Mechanismus oder den Fortgang seiner Tätigkeit Die Frage von Ausschlüssen hat das Treffen stark beschäftigt. Sie war geeignet, es in letzter Minute zum Scheitern zu bringen. Dies konnte nur durch einen starken persönlichen Einsatz des Koordinators und ein Anhalten der Uhren am Morgen des 9.2.1991 verhindert werden. Zunächst haben Großbritannien und Spanien unter Berufung auf ihren Streit betreffend Gibraltar, aber möglicherweise auch im Hinblick auf andere Streitfälle, gemeinsam eine Ausnahme vom Verfahren für Streitigkeiten aufgrund von Tatsachen vor Inkrafttreten der Methode 1 4 vorgeschlagen. Bedenken gegen einen generellen Ausschluß ratione temporis oder Vorbehalte einzelner Delegationen gem. Regel 79 der Schlußempfehlungen der Helsinki-Konsultationen von 1973 führten zum Gedanken einer Begrenzung des Ausschlusses auf bestimmte Streitfragen, insbesondere Fragen der territorialen Integrität, der Sicherheit und der Verteidigung, womit zugleich dem französischen Anliegen eines vollständigen Ausschlusses der „defense nationale" Rechnung getragen wurde. Auch gegen diesen sektoriellen Ansatz bestanden grundsätzliche Bedenken vieler Delegationen, wie zum Beispiel Ungarns. Die Türkei hingegen verlangte eine Ergänzung der Ausnahmen durch Nennung auch von „konkurrierenden Ansprüchen betreffend Jurisdiktion über Meeresgebiete und Luftraum". Die sich hieraus ergebenden Auseinandersetzungen mit den Delegationen Griechenlands und Zyperns konnten schließlich durch eine Formel eingefangen werden, die die türkische Forderung durch Verwendung von „konkurrierenden Ansprüchen hinsichtlich der Hoheitsgewalt über andere Gebiete" zu einer eindeutigen Bezugnahme auf die Agäis entkleidet und weiterhin keine automatischen Ausschlüsse, sondern nur noch die Möglichkeit einer verfahrenshindernden Einrede vorsieht. Wichtig für den Kompromiß war auch der genau formulierte Abschnitt zur Subsidiarität (s. u. Ziff. g)). Die Notwendigkeit einer ausdrücklichen Berufung auf Abschnitt X I I Ziff. 1 und die Möglichkeit der anderen Streitpartei, diese Berufung dem A H B zur Kenntnis zu bringen, könnte dazu beitragen, daß Staaten sich die Entscheidung nicht leicht machen. g) Subsidiarität der Methode Gemäß Abschnitt I I I findet die Methode nur Anwendung, wenn der Streit nicht bereits behandelt wurde (res judicata), 15 nicht Gegenstand eines der in Abschnitt V I I I beschriebenen anderen Streitbeilegungsverfahren ist (lis pendens) und nicht durch ein „anderes Verfahren abgedeckt ist", dem die Parteien zugestimmt haben. 14

Vgl. A r t . 27 des Europäischen Streitbeilegungsübereinkommens von 1957. Auch eine erfolglose Behandlung in einem früheren Verfahren schließt wohl die einseitige Anrufbarkeit des Mechanismus aus. Dies ist einer der Punkte, die entwicklungsbedürftig sind. 15

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Z u „anderen Streitbeilegungsverfahren" würde auch der vom Kopenhagener Treffen der Konferenz über die menschliche Dimension am 28.6.1990 angenommene KSZE-Mechanismus gehören sowie eine Behandlung im Rahmen des „Dringlichkeitsmechanismus" (s. o. S. 130), nicht hingegen die oben unter c) beschriebene Möglichkeit einer direkten Befassung des A H B durch eine Streitpartei. Die Frage, ob ein vertraglich vereinbartes Konsultationsverfahren den Anforderungen eines „anderen Verfahrens" genügt, muß wohl ebenfalls bejaht werden, da trotz Erörterung der Frage kein Zusatz wie: „das eine Drittbeteiligung vorsieht" vereinbart wurde. Unter „andere Verfahren" würden auch einvernehmliche Bemühungen wie Gespräche unter der Ägide des VN-Generalsekretärs fallen. Die Subsidiarität der Methode sollte nicht als Schwäche ausgelegt werden. Sie gilt nur, soweit die Parteien sich nicht einigen, die Methode trotz Abschnitt I I I in Anspruch zu nehmen (Erklärung des Koordinators). Deshalb könnte der A H B im Rahmen des Dringlichkeitsverfahrens den Parteien z. B. eine Inanspruchnahme des Valletta-Verfahrens empfehlen. I m übrigen muß berücksichtigt werden, daß das Mandat des W S D ebenso wie die KSZE-Schlußakte die ausdrückliche Bestimmung enthalten, daß die zu findende Methode bestehende Methoden „ergänzen", sie also nicht ersetzen oder verbessern soll. Der Vorrang rechtlich verbindlicher Vereinbarungen zur Beilegung von Streitigkeiten wird im Prinzipienteil (Ziffer 6a)) ebenso anerkannt wie die Notwendigkeit von Vereinbarungen in Verträgen und der stärkeren Nutzung der Möglichkeit einseitiger Unterwerfungen (Ziff. 9).

3. Ausblick Der Bericht des Expertentreffens brachte nicht klar zum Ausdruck, ob die Prinzipien und der Methodenteil (wie der Bericht der Konferenz über die menschliche Dimension in Kopenhagen) sofort oder erst durch Beschluß der Außenminister auf ihrem Treffen am 19. und 20. Juni 1991 in Kraft treten sollte. Diese Unklarheit beruhte darauf, daß die Charta von Paris lediglich bestimmt, daß der Rat der Außenminister dem Bericht Rechnung trägt. Aus grundsätzlichen Erwägungen folgt wohl, daß es den Außenministern obliegen muß, die politische Verbindlichkeit eines solchen Berichts festzustellen. Dies ist auch von den Außenministern so gesehen worden. Sie haben auf dem ersten Treffen des Rates der KSZE am 19. und 20. Juni 1991 den Bericht des Expertentreffens gebilligt und beschlossen, daß der Mechanismus in Kraft t r i t t , sobald 40 der Benennungen gemäß Abschnitt V (s. o. S. 131) erfolgt sind. Die Teilnehmerstaaten sind eingeladen, die Benennungen bis zum 30. August 1991 vorzunehmen. Die Außenminister hatten „ i n Ubereinstimmung mit der Charta von Paris" auch eine Entscheidung über die Auswahl der „ernennenden Institution" gem. Abschnitt V zu treffen. M i t der Bezugnahme auf die Charta von Paris hat das

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Expertentreffen auch deren Zusatzdokument angesprochen, das die in Frage kommenden KSZE-Institutionen nennt. Das Zusatzdokument weist unter Ziffer F 3 bereits darauf hin, daß dem K V Z , dessen Konsultativausschuß dem Rat verantwortlich ist, zusätzliche Aufgaben im Hinblick auf ein Streitschlichtungsverfahren sowie umfangreichere Aufgaben im Zusammenhang mit der Beilegung von Streitigkeiten übertragen werden können. Trotz anfänglichen Widerstands einiger Teilnehmerstaaten, insbesondere Belgiens, hat der KSZE-Rat dementsprechend dem K V Z die Aufgabe als „ernennende Institution" (s. o. S. 131 ff.) übertragen. Eine Verbindung zum Ständigen Schiedshof im Haag wird dadurch hergestellt, daß auf dessen Erfahrungen „falls vereinbart" zurückgegriffen werden „sollte", und dadurch, daß von dessen Räumlichkeiten und Einrichtungen Gebrauch gemacht werden kann. Die Forderung, daß der Direktor des Sekretariats des K V Z den Schiedshof vor der Ernennung von Schlichtern zu konsultieren hat, konnte sich nicht durchsetzen. Die vereinbarte Streitregelungsmethode gibt einen Konsens von 34 und nach Beitritt Albaniens 35 Mitgliedsstaaten wieder. Sie ist insofern erstaunlich stringent. Insbesondere ist zu unterstreichen, daß es sich um ein allgemeines und nicht nur auf bestimmte Streitfälle anwendbares, für alle Teilnehmerstaaten politisch verbindliches Verfahren handelt, das keine nationalen Vorbehalte zuläßt. Die Wirksamkeit der Methode kann sich erst erweisen, wenn sie von KSZETeilnehmerstaaten tatsächlich genutzt wird. Erst auf der Grundlage solcher Erfahrungen wird auch eine Ausfüllung und Fortentwicklung der Regeln möglich sein. Der Schlußteil sieht daher nur in sehr allgemeiner Form vor, daß die Verpflichtungen und ihre Implementierung „angesichts der Wichtigkeit, die Wirksamkeit des Verfahrens zu verstärken", regelmäßig überprüft werden sollten. Eine Verstärkung dieser Evolutivklausel war angesichts des Widerstands insbesondere der USA nicht möglich. Die Klausel ist aber ausreichend, um die im Mandat des W S D angesprochene, weitere schrittweise Entwicklung bis hin zu bindenden Entscheidungen von Streitfällen durch Drittparteien offen zu halten. Dem nächsten regulären KSZE-Folgetreffen, das 1992 in Helsinki stattfindet, wird es obliegen, eine erste Bilanz zu ziehen.

Summary^" After several unsuccessful attempts, the changing conditions in Europe made it possible t o create a predominantly political method of setting disputes between European States. The method was worked out at a meeting of government experts of the 34 (now 35) CSCE member States in Valletta in January and February 1991. I t was adopted at the first meeting of the CSCE Foreign Ministers at Berlin and will soon come into force. * Summary by the author.

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The method provides for unilateral recourse of a State party to a dispute to a "mechanism" whose primary function is to assist both parties to the dispute in finding a suitable method of settling their differences. Rules have been worked out so as to prevent obstruction by one side to the setting-up and functioning of the mechanism. The mechanism can choose its methods of work and make proposals as to the way of settling the dispute. If such proposals fail, it can — at the request of one party — also make proposals as to the substance of the dispute. A l l proposals are of a non-binding nature. This development is connected w i t h recent and successful efforts of the CSCE to set up procedures enabling new CSCE institutions to deal w i t h emergency situations and major conflicts. I n such cases, parties to a dispute can involve the Committee of Senior Officials immediately. I t is also possible to involve the Committee if efforts of the mechanism fail. The Valletta Mechanism is simply a "safety-net". I n no way does it weaken more stringent methods such as arbitration or adjudication if agreed upon by the parties. O n the other hand it is applicable to all disputes alike, be they political or legal, the only exception being that parties may reject the mechanism in precisely defined areas w i t h the possibility of the other side informing the Committee of Senior Officials. The method will, of course, have to stand the test of time. I t is to be hoped that CSCE participating States will make use of it and submit their disputes to the new procedure, which can mitigate and clarify their differences and lead to a reasonable solution.

A Case for Facilitation i n the Settlement of Disputes By R o y S. Lee*

I. Introduction T h e peaceful settlement o f disputes is a l o n g sought-after objective i n internat i o n a l law and relations. O v e r the past c e n t u r y , considerable effort has been d e v o t e d t o devising means f o r achieving this objective. I n t e r n a t i o n a l law abounds w i t h i n s t r u m e n t s u r g i n g States t o s u b m i t disputes according t o some means o f peaceful settlement. Since the 1899 and 1907 H a g u e C o n v e n t i o n s for the Peaceful S e t t l e m e n t o f D i s p u t e s , 1 a great variety o f mechanisms f o r t h e settlement o f disputes has been i n t r o d u c e d i n t o the f r a m e w o r k o f organizations and i n s t i t u t i o n s o f different k i n d s i n various fields. 2 I n a d d i t i o n , n u m e r o u s e x i s t i n g bilateral and m u l t i l a t e r a l treaties c o n t a i n some f o r m o f s e t t l e m e n t o f dispute clauses. W h i l e the means is n o t i n short supply, the n u m b e r o f cases t h a t have been actually referred t o s e t t l e m e n t procedures is less impressive. 3 * The views expressed in this article are personal to the author and represent no official institutional position. 1 James Brown Scott (ed.), The Conference of 1899 and the Conference of 1907, in: The Proceedings of Hague Peace Conference, Translation of the Official Texts, New York / Oxford 1990, published under the auspices of the Carnegie Endowment for International Peace. The Conventions are still in force among approximately 60 States. 2 For a detailed study in this field, see Preparation of the Draft Handbook on the Peaceful Settlement of Disputes between States , Progress Report by the Secretary-General , A/AC. 182/ L.68, 12 November 1990 (hereinafter referred to as Handbook on Peaceful Settlement of Disputes between States). I t covers (i) principles of the peaceful settlement of disputes between States; (ii) means of settlement; (iii) procedures envisaged in the U N Charter; (iv) procedures envisaged in other international instruments. This report was prepared in response to General Assembly resolution 39/9 and 39/88 of 13 December 1984. 3 There are no statistics on the total number of disputes submitted to settlement procedures. During the past 23 years, the International Court of Justice has had before it 27 contentious cases and five cases for advisory opinion. (They are listed in the current Yearbook of the International Court of Justice.) The following international arbitrations may also be noted: 1968, India and Pakistan: delimitation of land boundary; 1972, Greece and Federal Republic of Germany (FRG): settlement of war debts; 1977, Argentina and Chile: delimitation of Beagle Channel; 1977, U K and France: delimitation of continental shelf boundary; 1978, U K and France: interpretation of the 1977 decision; 1980, Belgium and F R G : interpretation of an article of the agreement on German external debts; 1981,

A Case for Facilitation in the Settlement of Disputes

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I n 1989, t h e U N General A s s e m b l y p r o c l a i m e d t h e p e r i o d 1990-1999 as the U n i t e d N a t i o n s Decade o f I n t e r n a t i o n a l Law. O n e o f the m a i n objectives o f the Decade is t o p r o m o t e means and m e t h o d s f o r the peaceful settlement o f disputes between States. 4 B u t w h y are States n o t m o r e interested i n r e s o r t i n g t o settlement procedures? T h e acceptance o f any means o f settlement is based o n v o l u n t a r y submission and c u r r e n t systems of dispute settlement rely p r i m a r i l y o n the parties t o the dispute t o select the means f o r settlement and subsequently, t o activate t h e process. I f t h e y d o n o t act, n o o t h e r b o d y can s u b s t i t u t e f o r t h e m . I f they are n o t satisfied, they d o n o t have t o act. Experience shows t h a t various difficulties have c o n t r i b u t e d i n one way o r a n o t h e r t o State avoidance o r i n a c t i o n . These are analyzed i n Section I I o f this paper. W h i l e some of the difficulties are f u n d a m e n t a l , the s i t u a t i o n c o u l d be greatly i m p r o v e d . Section I I I , therefore, suggests h o w some o f t h e situations m i g h t be i m p r o v e d t h r o u g h the use o f facilitators, and w h a t k i n d o f services w o u l d be m o s t useful.

Iran-United States Claims Tribunal; 1985, Guinea and Guinea-Bissau: maritime boundary delimitation; 1986, France and New Zealand: The Rainbow Warrior Case; 1988, Egypt and Israel: boundary demarcation (Taba); 1989, Senegal and Guinea-Bissau: maritime boundary; 1990, US and U K : user fees at Heathrow Airport; 1990-1991, US and USSR: US claims over the construction and alleged bugging of its chancery in Moscow; 1990, France and Canada: maritime boundary delimitation over St. Pierre and Miguelon. There are also a number of cases dealing w i t h air services disputes: USA/Italy; USA/France; Belgium/Ireland. A glance at the total number of disputes dealt w i t h by international organizations might help to give some indication. A U N I T A R study published in 1986 concluded that a total of 319 disputes were identified between 1945 and 1984, of which 96 were not referred to any international organization: 137 made the agenda of the United Nations, 30 went to the Organization of American States; 27 to the Organization of African U n i t y , 24 to the Arab League, and 5 went to the Council of Europe. Double counting existed in that some disputes were referred to more than one organization. A dispute is defined in the Study "as a specific grievance between two or more States about a specific subject involving an allegation that a provision of the Charter or a major resolution of an authoritative United Nations organ has been violated." Ernst B. Haas, The United States and Collective Management of International Conflicts, U N I T A R Publication, Geneva 1986, at xii (hereinafter referred to as the U N I T A R Study). 4 See General Assembly resolution 44/23 entitled " U n i t e d Nations Decade of International Law". The main objectives of the Decade are: (1) to promote acceptance of and respect for the principles of international law; (2) to promote means and methods for the peaceful settlement of disputes between States including resort to and full respect for the International Court of Justice; (3) to encourage the progressive development of international law and its codification; and (4) to encourage the teaching, study, dissemination and wider appreciation of international law.

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I I . Difficulties in Current Systems States are known for their reluctance to resort to dispute-settlement procedures. 5 This in part accounts for their record of infrequent usage. But the procedures themselves also have limitations which no doubt contribute to that record. This section represents an attempt to identify some of the basic causes, which for purposes of this analysis, are grouped under the following headings: (1) results of freedom of action; (2) management of crisis situations only; (3) problems resulting from dealing w i t h situations only after they have arisen; (4) problems associated with the emphasis on "settlement"; (5) high costs and lack of expertise; (6) merits and deficiencies inherent in means of dispute settlement; (7) difficulties in the implementation of dispute settlement clauses.6

1. Results of Freedom of Action The term "settlement of disputes" in international law has been influenced by concepts in municipal law. Under municipal law, the concept of settlement of disputes works within a hierarchical structure. A central authority governs most aspects of life. The legislature lays down the law and the administration carries out the law. Disputes are subject to compulsory settlement by the judiciary and decisions are binding and enforceable. Difficulties arise when this concept is transplanted to the international level. The international community is based on sovereign equality and consensual arrangements among States. There exists no central authority at the international level comparable to that of municipal law. For instance, the power of the United Nations to lay down legally binding rules is restricted to Chapter V I I w i t h respect to the maintenance of international peace and security. The United Nations has no binding authority outside that field. While the authority of the European Com5

Settlement of disputes has been a topic of many learned studies. Particular reference is made to the two studies of the David Davies Memorial Institute of International Studies in the 1960s: the International Disputes: the Legal Aspects , London 1972, and International Disputes: the Political Aspects, London 1971. The former contained a report of a study group of the Institute under the chairmanship of the late Judge Sir Humphrey Waldock ; foreword by Sir Francis Vallat. The latter was written by Professor F. S. Northedge and M. D. Donelen. Some 20 years later, both books continue to be instructive. 6

Sir Francis Vallat in his foreword to International Dispute: The Legal Aspects mentioned the following as reasons or excuses given by States for refusal to resort to third-party procedures: (1) that vital interests are involved; (2) that the dispute is essentially of a political character; (3) that the State concerned is right in its view, and therefore, should not submit t o any third-party adjudication; (4) that the means proposed is not suitable for the particular dispute; (5) that the procedure would involve delay; (6) that the procedure would involve excessive cost. According to Sir Francis, two factors emerged: one is the lack of will t o seek a settlement and the other is lack of knowledge of the rich variety of means of settlement available. Both of these, in his view, called for research and education.

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munity is broad and far-reaching, it is regional in scope and the basis of the structure is still the consent of States. Also, at the international level, law is derived from various sources (e. g., treaties, custom, general principles of law, judicial decisions, etc.). There are many legislators. What constitutes the law is, in most cases, ultimately decided by States themselves subject only to such means for authoritative determination of the law as States may accept. Unless otherwise agreed by treaty or governed by the U N Charter (e.g., Article 2, paragraphs 3 and 33), there is no compulsory adjudication or settlement of conflicts, and States are under no effective obligation to accept any means of settlement of disputes, to submit a dispute for adjudication or to settle a dispute. They, as sovereign States, are free to act or not to act. They are bound only by what they have accepted in general or specific terms as a means of settlement. Given this background of freedom of action and of voluntary acceptance of means for dispute settlement, States bear primary responsibility for the success or otherwise of the systems. Nobody can substitute for them. Consequently, current systems of dispute settlement rely essentially on the parties to the dispute to decide to act or not to act. States also desire to retain control over matters of serious concern; they wish to determine the outcome of an event themselves, not leave it to someone else to decide for them. Normally, States would not accept a means of settlement if the acceptance entails their relinquishing control of the matter or letting someone else decide for them. States are also very cautious. If there is any doubt that the acceptance of a specific means might affect their achievement of a desired outcome, they will refrain from making a commitment. Since acceptance is purely voluntary, States tend to avoid accepting any means which does not give them control or meet their objectives. Most often States will engage in a means of settlement only if that is their best choice or if they believe that they will be able to influence the outcome. Objective analysis and evaluation of the situation could help States to choose among the available means. They might also be prepared to co-operate in activities designed to resolve their disputes, provided that such services are offered to them and they continue to retain control over the processes and remain free from any obligation.

2. Management of Crisis Situations Only A t the outset, two categories of disputes and situations should be distinguished. The first category refers to those crisis situations which are managed by existing international and regional organizations. They are dealt with here. There is then the second category which refers to disputes and situations not currently managed

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by any institution. This group includes also those which are not brought to the attention of or failed to be dealt with by the regional and international organizations. Existing international and regional organizations deal with crisis situations only. 7 The procedures in the United Nations are used here as an example to illustrate this point. N o t all disputes are the concern of the Security Council: only those disputes "the continuance of which is likely to endanger the maintenance of international peace and security". 8 Disputes or situations which do not reach that threshold are not, legally speaking, the proper concern of the Security Council. The General Assembly may discuss any questions relating to the maintenance of international peace and security brought to it by a State or referred to it by the Security Council (Article 11 (2) of the Charter). But again, such questions must relate to the maintenance of international peace and security. Accordingly, a case must pass this threshold test in order to be considered either by the Security Council or the General Assembly. In practice, two levels of consideration are involved on whether or not a given case is brought to the attention of the United Nations. First, each State, whether or not it is involved in the given situation, must decide whether factually (which is a subjective test) it has met the threshold requirement and whether politically it is wise for that State to bring it to the Organization. Normally, unless both conditions are satisfied, a State will not bring the case before the United Nations. To decide to bring a matter to the United Nations is a highly sensitive matter. Seldom would a State wish to interfere w i t h the affairs of another State, unless the plaintiff State itself is a party to the dispute, its nationals are affected or it has other political motives (e. g., to rally support). I t is therefore quite possible that even when a dispute or situation has factually met the requirement, no one is prepared to bring the case to the Organization. Once a State has decided to bring a dispute or situation before the Organization, Members of the organ to which the case is brought will decide whether or not the case has met the requirement. Each Member will individually determine this on the basis of the facts and its own political considerations. The Organ will decide according t o the conditions required under its rules of procedure. Again, political factors figure largely in the determination. Consequently, even after a case has been brought to the attention of the Organization, the organ may decide not to deal w i t h it. States may also disagree on how to deal with it. Under the terms of the Charter, even when the Security Council is seized of the dispute, it is (at least initialy) not supposed to deal with the merits of the dispute 7

As pointed out earlier, 96 out of 319 disputes which occurred between 1954 and 1984 were not referred to any international organizations, see (note 3). 8

Article 33 (1) of the U N Charter.

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but should determine instead which procedure or method is best suited for settling that dispute (see Article 33 (2) of the Charter). The Council's first duty is to call upon the parties to settle their dispute by one of the means mentioned in Article 33: negotiation, enquiry, mediation, conciliation, arbitration, judicial settlement, resort to regional agencies or arrangements, or other peaceful means of their own choice. 9 Article 33 leaves the individual States to choose among the various means. The Charter itself does not however provide any further measure to enable the parties to do so. Thus, unless the parties have already made specific arrangements for settling their disputes, this provision is difficult to put into operation in practice. Only when such a general call does not lead to a settlement may the Council recommend, in a more specific manner, appropriate procedures of adjudication taking into account any procedures for the settlement of disputes that have already been adopted by the parties. 10 Should the parties fail to settle the dispute by the means thus recommended, the dispute may again be referred to the Security Council. A t this point, the Security Council has a choice of recommending another method of settlement to be applied by the parties, or of proceeding to the merits of the dispute and recommending "such terms of settlement as it may consider appropriate" provided the Council "deems that the continuance of the dispute is in fact likely to endanger the maintenance of international peace and security". (Article 37, paragraph 2). Only when "all the parties" to any dispute so request the Security Council may make "recommendations to the parties with a view to a specific settlement of the dispute" (Article 38). This power would seem to encompass any dispute, even one not likely to endanger international peace. But the key requirement in this case is that all the parties to the dispute must so request. If they do not so request, this procedure cannot apply. As to the General Assembly, it may not make any recommendation on cases with which the Security Council is seized (Article 12 of the Charter). The Assembly may, however, recommend measures for the peaceful adjustment of any situation that it deems likely to impair the "general" welfare or friendly relations among nations, including situations resulting from a violation of the provisions of the Charter (Article 14 of the Charter). In sum, under the U N Charter, only those disputes or situations that pass the tests mentioned above can be brought to the attention of the Organization. Even 9 Each of these means is discussed in detail in the Handbook on Peaceful Settlement of Disputes between States ; op. cit., see note 2. 10 Article 36, paragraphs 1 and 2. For practice of the United Nations in this respect, see Handbook on Peaceful Settlement of Disputes between States ; op. cit., paragraphs 316, 321324 and 332-347.

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when they are brought before the Organization, the philosophy is to let the parties avail themselves of every opportunity to resolve the problem by themselves. The design of the system therefore emphasizes the choice of means or procedures by the parties themselves, not the facilitation of the process of settlement. Statistics show that only partial success has been achieved. 11 The Secretary General in fact has become the main organ to facilitate the process of settlement. 12

3. Problems Resulting from Dealing with Disputes Only After They Have Arisen Under the hierarchical structure of municipal law, it may be justifiable to deal with disputes after they have arisen since all disputes are subject to compulsory settlement, and the judiciary is there to uphold the law and to punish violators. But, as we have seen, this is not the case at the international level. Disputes are extremely difficult to deal with at the international level after they have been fully articulated, at which point they are usually at their peak. Divergent positions have already been taken by the parties to the dispute and are publicly known. Internal interest groups have formed and pressures have been exerted on the government. The attitudes of the parties have often therefore become inflexible. Time and great effort are needed if there is to be any hope of persuading the parties to the dispute to alter their positions. To deal w i t h disputes only after they have arisen also means the neglect of the important aspect of prevention and early detection of potential disputes where treatment of the problem might be easier. Most existing mechanisms are geared to dealing w i t h disputes only after they have developed; the whole phase leading up to the articulation of the dispute is outside the scope of most of the existing system and the processes of dispute settlement do not apply. The main body of international law does not deal with prevention and early detection of disputes. This is a large field for study and creative thinking is needed to find ways to fill the gap.

4. Problems Associated With the Emphasis on " Settlement " A t the municipal level, it might be logical to aim at a "settlement" in view of the hierarchical structure of municipal law and the courts' compulsory jurisdiction 11 According to the U N I T A R Study, of the 137 disputes which made it to the agenda of the United Nations, 47 °Io of the disputes were abated; hostilities stopped in 63 °Io of the cases; disputes were isolated in 66 °Jo of them; and 75 °Jo of the disputes were settled. O f 86 disputes referred t o the regional organizations, 44 °Io of the disputes were abated, hostilities stopped in 63 % of the cases; disputes were isolated in 55 % of the cases; and disputes were settled in 75 % of the cases, U N I T A R Study, op. cit., 13 and 59. 12 See below, Section I I I . l Facilitator-Initiated Assistance.

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over disputes. The current systems in international law also seem to stress "settlement" of a conflict, but many international situations are not amenable to such treatment. A "settlement" normally aims at finding a compromise or reaching a decision on the basis of the immediate facts surrounding the case. A settlement tends to support the status quo and not look beyond. The nature of a dispute and the causes that led to the dispute are not normally the concern of a settlement. Generally, a dispute is taken as is and the task is to find a way to settle it. Those who are looking for a change in the status quo do not therefore find this approach attractive. Many protracted international conflicts are primarily over prestige, identity, security or other human values which are considered by the parties as nonnegotiable. When such values are involved, they cannot be translated into items with which the parties can bargain. Even when a settlement is temporarily reached, the conflict flares up again whenever opportunity presents itself. In such circumstances, traditional methods of settling disputes are no longer relevant because they do not address the broader underlying concerns. Conflicts over inalienable values only become protracted if attempts are made to settle them within a legal framework. Such problems need to be addressed from a broader perspective. 5. High Costs and Lack of Expertise The high costs associated with the arbitral and judicial settlement of a case may also be a factor that in certain circumstances could influence a State's attitude in deciding whether or not to resort to such proceedings. 13 Normally, several million dollars, which would be required to pay expenses incurred (e. g., counsel's fees, preparation of memorials and counter-memorials, reproduction of charts and maps, and administration costs), should not prevent States from engaging in such activities. But circumstances exist where the funds of a State are limited and earmarked for other competing uses. Unless the settlement is given priority, no funds will be allocated and the case is set aside. States engaged in arbitration or judicial settlement will need highly specialized expertise to assist them in preparing briefs, in providing evidence, and in conducting oral proceedings, which all require special knowledge and skills. Practice shows that not all countries have such necessary expertise. Often, foreign experts are needed. This can be seen clearly in the composition of teams representing the Applicants and Respondents before the ICJ. The need to recruit foreign experts 13 Sir Francis Vallat , in his introduction to International Disputes : the Legal Aspects (op. cit.) states that: "The element of cost is a real one. International proceedings are expensive and sometimes, such expenditure may be regarded as being greater than the merits justify. There is a real problem here especially as regards ad hoc arbitration . . x v i i .

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may also influence a State's attitude towards using such means and contribute to the high costs. 14 6. Merits and Deficiencies Inherent in Means of Dispute Settlement States' attitudes towards the acceptance of a given means of settlement are also influenced by the merits and deficiencies inherent therein and the circumstances of the case. A certain means or method may suit some situations but may not be acceptable under different circumstances. The basic test seems to be the degree of control by the parties and the extent of involvement of the parties in the processes. I n times of conflict, States may have considered some procedures but omit others. They may be too occupied w i t h other urgend demands (relief activities, refugees, security, ect.) to focus on the choice of means. States may also be overly cautious to suggesting a specific idea for fear of it being rejected. O n the basis of the degree of control by the parties and the extent of parties' involvement in processes, the usual means or methods of settlement may be divided into six groups: (i) negotiations, (ii) good offices, (iii) enquiry and factfinding, (iv) mediation and conciliation, (v) arbitration, and (vi) judicial settlement. 1 5 The range of methods is grouped in descending order: (i) gives full control and the highest degree of involvement by the parties, whereas (vi) gives them no control and the decision is determined by the court or tribunal. This analysis may prove useful in understanding and finding ways to improve States' attitudes toward the various methods. What follows is a brief indication of the notable merits and deficiencies inherent in the means or methods. (1) "Negotiation" means direct discussions between the parties and thus gives full participation and control to the parties. Each of the other five groups involves a certain degree of external participation in the process. Negotiation is, therefore, the method usually preferred by States. Virtually all other methods of handling international disputes are preceded or accompanied by some form of negotiation. Moreover, in many dispute settlement clauses, negotiation is frequently a pre14

The following statistics may help to illustrate the point; the figures indicate the number of non-national members of the respective teams which normally include agent, counsel, advocates, advisers, experts: 1982 Tunisia/Libya case concerning the Continental Shelf: Tunisian team (10), Libyan team (13); Libya/Malta 1985 Continental Shelf case: Libyan team (17), Maltese team (9); Burkina Faso/Mali 1986 Frontier Dispute case: Burkina Faso team (10), Mali team (4); Nicaragua/Honduras 1988 Border and Transborder armed actions case: Nicaraguan team (5), Honduran team (33). See also below , Section III.3.4 and 6. 15 Each of these and other methods are addressed in the Handbook on Peaceful Settlement of Disputes between States ; op. cit. , in terms of characteristics, functions, application of the methods, and institutional and related aspects, and outcome.

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requisite before a party may resort to other procedures, for example, to mediation or arbitration. Since negotiations are between the parties, the initiation of the process (e. g., making contact, determining the venue, drawing up the agenda, etc.) also falls on the parties themselves. Consequently, when the parties have difficulties in communicating with each other, negotiation cannot begin. When the parties face an impasse, no one is there to show the way out of it. Since there is normally no outside participant in the negotiation, the parties can easily entangle themselves in an argument, reviving old prejudices about each other. The result of negotiation usually depends on the negotiating power of the parties concerned; each side tries to impose its will on the other. The negotiating power of the parties, however, is not always an objective fact (e. g., wealth, size of territory or military power). I t can be purely subjective, namely, self-perception, world opinion, justification for the case, etc. As negotiation is primarily a process of bargaining and trade-offs, a State that is or considers itself in a weaker position would not readily accept negotiation as the instrument for settling a dispute with another State that is or that it believes to be in a stronger bargaining position. (2) "Enquiry" and "fact-finding" are neutral, technical means for establishing and clarifying facts, and are usually carried out by a third body at the request of one or both parties concerned. 16 The result may, therefore, be helpful in reducing tension and preventing a conflict. The parties do not however have control over the outcome of such missions. The success of the mission depends on the cooperation of the parties. This is particularly true in missions involving access to territory and information which can only be provided by the parties. Difficult questions relating to the establishment of the mission (e.g., its composition, appointment of members, filling vacancies, methods of work, etc.) may, however, be encountered during the implementation stage. States may also become reluctant to pursue an enquiry or fact-finding mission if they suspect that the facts that will be established through such mechanism might favour the other side. (3) "Mediation" means the participation of third States or disinterested individuals in negotiations between States in dispute. The rôle of the mediators is to reconcile the claims of the parties and to appease "the feelings of resentment which 16

Fact-finding by the United Nations in the field of the maintenance of international peace and security has been the focus of the U N Special Committee on the Charter of the United Nations and on the Strengthening of the Rôle of the Organization (hereinafter referred to as the Charter Comittee). In 1991, it adopted a draft Declaration on the subject. See Report of the Charter Committee , General Assembly Official Records: Forty sixth session , Supplement No. 33 (A/46/33), hereinafter referred to as 1991 Report of the Charter Committee. For a recent study on this topic, see Christiane Bourloyannis , Fact-Finding by the Secretary-General of the United Nations, in: New York University Journal of International Law and Politics 22 (Summer 1990), 641-669.

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have arisen between the States at variance". 17 Mediation is best when both parties in dispute are basically willing to settle their dispute. Flexibility is an essential element in mediation. The method and procedure must therefore be tailored to the needs of the parties. (4) "Conciliation" is the process of settling a dispute by referring it to the conciliators who undertake to ascertain the facts in dispute and put forward a suggested solution for settlement. By ascertaining the facts, the conciliators offer the parties to the dispute information and knowledge of each party which they may not possess otherwise and help them to understand each other. Conciliation therefore combines the elements of mediation and enquiry. Both mediation and conciliation permit to a certain degree the participation of the parties to a conflict. The parties however have no direct influence over the "solution settlement" proposed by the mediators or conciliators. The solution is nevertheless easier for the parties to accept, if they wish to, since it comes from a third party rather than from an opponent. The trend seems to be that individuals rather than States are normally chosen as members of the mediation or conciliation Commission. This is presumably a reflection on the interdependence of States: fewer States are truly neutral or are willing to act for such purposes. Difficulties may however be encountered in searching for acceptable and qualified individuals from which mediators or conciliators may be chosen to suit different kinds of occasions. (5) " G o o d offices" is a very flexible term and consists of various kinds of action provided to the parties to a conflict by an individual, an organ, a State or a group of States. Usually, such services are given upon the request of one or both parties, and in some cases, may be initiated by a third party itself. The functions of good offices vary depending on the mandate and the relationships between the entity and the parties concerned. Sometimes, the functions are limited to mediation and gobetween; in other cases, the services of good offices encompass the full range of dispute management and solution. This is particularly true in recent activities involving the good offices of the Secretary-General of the United Nations. 1 8 This kind of assistance therefore gives full control to the parties but at the same time allows creative input from a third party providing such services. (6) " A r b i t r a t i o n " means the referral of a dispute by the parties to an independent empire or tribunal. A common method is by inclusion of a compromissary clause in a treaty by which parties agree to submit their future disputes regarding that treaty to arbitration. Parties may also agree to go to arbitration ad hoc by means of special agreement (or compromis) after the occurrence of a dispute.

17 18

Article 4 of the Hague Convention on the Pacific Settlement of Disputes of 1899. See below , Section I I I . l (3) The good offices of the Secretary-General.

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Most compromissary clauses lack specificity as to the rules of establishment and operation of the tribunal. To submit a dispute to an ad hoc arbitration under a compromissary clause, the parties usually need to conclude a special agreement in order to deal with such issues as the competence of the tribunal (size, manner of appointments and filling of vacancies), the appointment of agents, the questions to be decided by the Tribunal, the rules of procedures, the registry, finance, nature of the award, etc. In other words, all the questions relating to the establishment of the arbitral tribunal need to be spelled out. The negotiation on the compromis is not only time-consuming. Impasse can easily be reached. The decision of the umpire and tribunal is usually based on its interpretation of the competing legal claims, unless the parties have requested it to render its decision on the basis of ex aequo et bono. Generally, the composition of the arbitration is decided jointly by the parties concerned — a factor that is favoured by the parties. A n arbitral tribunal is usually composed of one, three or five arbitrators. Each party normally appoints, on the basis of parity, one or two arbitrators, as the case may be, and then the appointed arbitrators elect, by agreement, the neutral member or members. The presidency will usually go to a neutral member. Since the appointed members normally disagree w i t h each other, the neutral member or members play a determining role in the decision. The selection of arbitrators frequently presents difficulties. Many arbitration clauses do not contain a time limit for appointing arbitrators. There may be cases where one party to a dispute refuses to appoint its arbitrator and therefore prevents the composition of the tribunal. Some arbitration clauses are not well crafted and leave holes in the procedures, which often lead to deadlocks or delay. When the rules of procedures are not clearly specified (such as by incorporation of some detailed rules, e.g., U N C I T R A L rules), the proceedings can drag out unnecessarily. Finally, difficulties may also be encountered in establishing the registry (which provides all the secretariat services to the tribunal): appointment of the registrar, recruitment of personnel, arranging for translation and interpretation, reproduction of documents and question of expenditures. (7) "Judicial settlement" means the submission of a dispute to a pre-constituted international court or tribunal composed of independent judges whose tasks are to settle claims on the basis of international law and to deliver decisions binding on the parties, which are, as a rule, not appealable. A t present, the International Court of Justice is the only pre-constituted judicial body at the global level. I t has both contentious and advisory jurisdiction. Its jurisdiction in contentious proceedings is restricted to cases in which the parties are States. Such jurisdiction comprises "all cases which the parties refer t o it and all matters specially provided for in the Charter of the United Nations or in

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treaties and conventions in force" (Article 36 (1) of the ICJ Statute). The basis of this contentious jurisdiction is thus, in all cases, the consent of the parties, whether given ad hoc by special agreement (e. g., compromis) or in some treaty or other instrument prior to the particular proceedings. The optional clause under Article 36 (2) of the Statute, which provides for the acceptance of the jurisdiction as compulsory "ipso facto and without special agreement, in relation to any other State accepting the same obligation", is an example of consent given on a general basis and prior to the particular proceedings. 19 Since 1945, a total of 64 contentious cases have been submitted to the Court. Eleven cases are presently before the Court — the highest record in the history of the Court and its predecessor, the Permanent Court of International Justice (PCIJ). 2 0 Apart from the 51 States which have accepted the Court's jurisdiction under the Optional Clause, over 250 bilateral and multilateral treaties and conventions containing settlement of dispute clauses provide for submission of disputes to the ICJ. 2 1 Apart from the Court's contentious jurisdiction, the ICJ is also competent to give advisory opinions on any legal question which the authorized international organizations may request. Advisory opinions are not binding on the requesting organization but may establish principles of law that are followed in subsequent opinions and cases. A t present, six U N organs and 16 international organizations are authorized to request advisory opinions. 22 Since 1946, the ICJ has dealt with 20 advisory cases.23

19 Some 51 States have accepted the optional clause under Article 36 (2) which "may be made unconditionally or on condition of reciprocity ... or for a certain time" (Article 36 (3) of the ICJ Statute). Some of the declarations contain reservations. These declarations and their terms are all listed in the current ICJ Yearbook. Jurisdiction is conferred on the Court only to the extent to which "the two Declarations coincide in conferring i t " . See, in general, Ibrahim F. I. Shihata , The Power of the International Court to Determine Its O w n Jurisdiction, The Hague 1965; Shabtai Rosenne, The Law and Practice of International Law, Leyden 1965, 267-506; / . G. Merrills , The Optional Clause Today, in: British Yearbook of International Law (BYIL) 50 (1970), 87-116; Shigeru Oda, Reservations in the Declaration of Acceptance of the Optional Clause and the Period of Validity of the Declarations: the Effect of the Shultz Letter, in: B Y I L 55 (1988), 1-30; Leo Gross , Compulsory Jurisdiction under the Optional Clause: History and Practice, in: L. F. Damrosch (ed.), The International Court of Justice at a Crossroads, Dobbs Ferry, N . Y . 1987, 19-57. 20 These are: Nicaragua / USA: Military and Paramilitary Activities in and against Nicaragua; Nicaragua / Honduras: Border and Transborder Armed Actions; Denmark / Norway: Maritime Delimination in the Area between Greenland and Jan Mayen; Iran / U S A : Aerial Incident of 3 July 1988; Nauru / Australia: Certain Phosphate Lands in Nauru; El Salvador / Honduras: Land, Island and Maritime Frontier Dispute; Chad / Libya: Territorial Dispute; Portugal / Australia: East T i m o r ; Guinea-Bissau / Senegal: Arbitral Award; Guinea-Bissau / Senegal: Maritime Delimitation; Finland / Denmark: Passage through the Great Belt (Store Baelt). 21

They are listed in the current Yearbook of the International Court of Justice.

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From the standpoint of the parties to a dispute, judicial settlement, like arbitration, does not allow direct participation in the decision-making; the decisions are given to them by the arbitrator, a tribunal or a court over which they have no control. The process is, therefore, non-participatory and judgmental. Some States prefer arbitration to judicial settlement because it at least allows them to choose the arbitrators and to determine the procedural rules and the law applicable, giving them some measure of control. But the parties must pay for the establishment and maintenance of the arbitral tribunals which are costly and the parties must negotiate all isues concerning the establishment of the tribunal and the registry. International courts and tribunals, by contrast, are pre-constituted inasmuch as they are permanent judicial bodies whose composition, jurisdiction and procedural rules are predetermined by their constitutive treaties. There is, therefore, stability and consistency in jurisprudence in the case of judicial settlement. In recent years, the use of ad hoc chambers under Article 26 (2) of the ICJ Statute seems to have acquired a growing interest amongst States. 24 States seem to favour particularly the fact that the number of judges constituting such a chamber is determined by the Court with the approval of the parties. Thus, ad hoc chambers offer similar features of arbitration where the parties appoint arbitrators of their own choice. But ad hoc chambers have an added advantage in that the costs are not directly borne by the States using the chamber but are shared amongst members of the United Nations; the parties do not have to pay for the judges or the administrative costs of the chambers, whereas the parties would have to pay for the full costs of an ad hoc arbitration tribunal. Moreover, the ad hoc chambers, like the full court, are serviced by the ICJ Registry and there is no need to prepare rules of procedure as the Rules of Court apply, whereas in the case of ad hoc arbitration, the parties would have to create a registry for the arbitration tribunal and establish its rules of procedure. The Asian-African Legal Consultative Committee recognized these advantages and commended the use of ad hoc Chambers. 25 22 United Nations: General Assembly, Security Council, Economic and Social Council, Trusteeship Council, Interim Committee of the General Assembly, Committee on Applications for Review of Administrative Tribunal Judgments. A l l the Specialized Agencies and the Internatioal Atomic Energy Agency have been authorized to request advisory opinions. See ICJ Yearbook, 1988-1989, 52-53. 23

These cases are listed in the current Yearbook of the International Court of Justice. The US / Canada Gulf of Maine Case (1984) was the first one using an ad hoc chamber of the Court. This was followed by Burkina Faso / Mali Frontier Dispute Case (1986), US / Italy Elettronica Sicula Case (1989) and El Salvador / Honduras Land, Island and Maritime Frontier Dispute Case (1986-present). For discussions on the use of ad hoc Chamber and the question of composition, see Shigeru Oda, Further Thoughts on the Chambers Procedure of the International Court of Justice, in: American Journal of International Law (AJIL) 82 (1988), 556-561; and Stephen M. Schwebel , A d H o c Chambers of the International Court of Justice, in: A J I L 81 (1987), 831-854 (831). 24

25

See Rôle of the International

Court of Justice: Report of the Asian-African

Legal

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W h i l e a j u d g m e n t given b y the C h a m b e r is considered as rendered b y the f u l l C o u r t ( A r t i c l e 27 o f the I C J Statute), a q u e s t i o n o f jurisprudence may arise w h e n n o r m a l l y less t h a n a t h i r d o f t h e 15-judge bench serve o n a Chamber. I n cases where ad hoc judges are a p p o i n t e d , a five-member C h a m b e r has o n l y three judges f r o m t h e bench. Some States also h o l d the v i e w t h a t certain types o f disputes are n o t suitable f o r j u d i c i a l s e t t l e m e n t . 2 6 T h e list o f categories o f disputes w h i c h States have excluded f r o m t h e o p t i o n a l clause under A r t i c l e 36, paragraph 2 o f the S t a t u t e o f the I n t e r n a t i o n a l C o u r t o f Justice illustrates this p o i n t . 2 7 W h e t h e r o r n o t the exclusion o f certain categories o f disputes is j u s t i f i e d is irrelevant i n the present c o n t e x t ; the fact remains t h a t some States w i l l n o t s u b m i t certain categories o f cases for j u d i c i a l settlement. A c o n s i d e r a t i o n w h i c h may have c o n t r i b u t e d i n the past t o the reluctance of certain States t o accept j u d i c i a l settlement was t h a t the great b u l k o f i n t e r n a t i o n a l law was perceived t o be essentially a p r o d u c t o f the W e s t e r n E u r o p e a n States and t h a t the C o u r t was overly influenced b y W e s t e r n jurisprudence and " E u r o p e a n -

Consultative Committee. U N Document A/40/682, 1985. Apart from the ad hoc chamber, two other kinds of chambers also exist, though they have never been used: (1) a Five-judge chamber to hear and determine cases by summary procedure w i t h a view to speedy despatch of business (Article 29 of the ICJ Statute); (2) chamber composed of three or more judges for dealing w i t h particular categories of cases (e. g., labour, transit and communication) under Article 26 (1) of the ICJ Statute. 26 The United States Government's statement accompanying its announcement on 18 June 1985 of its decision not to participate in any futher proceedings before the International Court of Justice on the Nicaragua complaint against the United States illustrates this point. The statement reads in part: " T h e conflict in Central America . . . is not a narrow legal dispute; it is an inherently political problem that is not appropriate for judicial resolution. The conflict will be solved only by political and diplomatic means — not through a judicial tribunal. The International Court of Justice was never intended to resolve issues of collective security and self-defense and its patently unsuited for such a role." (US Embassy News Release, 85-06,18 January 1985, "US Withdraws from World Court Nicaraguan Proceedings"). Justifiable or not, the United States is not alone in holding this view and while they hold to it, they will not accept judicial settlement for such cases. 27 Most of the Declarations are subject to some form of reservations (though some are not). While some Declarations are without time limit, many are. Many declarations specify that they may be terminated upon notification, others are limited to disputes arising after the declaration was made or concerning situations or facts subsequent to a specific date. The most common reservation excludes disputes relating to matters that are "exclusively" or "essentially" within the domestic jurisdiction of the State concerned; some declarations exclude disputes arising under a multilateral treaty, or relating to hostilities or armed conflicts, or arising out of rights or jurisdictions in respect of natural resources or territory. See, in particular, the Declarations of El Salvador, Honduras and India. See, in general, Merrills (note 19), 87 et seq.

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centred" international law. 28 This perception of the International Court of Justice, if it did exist at all, is no longer valid. The jurisprudence of the Court has amply demonstrated that it is truly a world court and it has dealt skilfully with a variety of cases involving great complexity. 2 9 Its workload is steadily increasing and more developing countries are using it and accepting its general compulsory jurisdiction. The above survey indicates that from the States' standpoint each method for dispute settlement has strong points as well as weaknesses. I t is important to bear this in mind in order to understand States' attitudes and to find ways to provide suitable assistance for them.

7. Difficulties

in the Implementation of Dispute Settlement Clauses

Various difficulties ranging from technical to procedural may be encountered concerning the implementation of dispute settlement clauses, which are contained in a multitude of existing bilateral and multilateral treaties. The importance of identifying such difficulties is therefore self-evident. The parties need first of all to communicate with each other before they can begin any discussion of even preliminary issues. If for any reason, there is no channel of communication or if it breaks down, the processes cannot begin. Even when the channel of communication is open, there is the question of who will make the first overture. The side which makes the first move might be perceived, rightly or wrongly, as being weak, too anxious or wishing to compromise. O f course, it may also be perceived as being confident, aggressive or having a better claim. Quite possibly, both sides may decide to wait for the other side to act first. Time is lost 28

See Wilhelm G. Grewe , V o m europäischen zum universellen Völkerrecht. Zur Frage der Revision des ,europazentrischen' Bildes der Völkerrechtsgeschichte, in: Zeitschrift für ausländisches öffentliches Recht und Völkerrecht 42 (1982), 449-479. The decision of 8 to 7 by the International Court of Justice in The Case of South West Africa, second phase delivered in the summer of 1966, reversing its earlier 1962 decision in which the Court by a similar 8 to 7 vote had decided to exercise jurisdiction to hear Ethiopia's and Liberia's complaint over South Africa's extension of its apartheid regimes into South West Africa (Namibia), was often cited as the best example in support of the above-mentioned contention. The 1966 decision was regarded as a "political disaster" for the Court (see Edward McWhinney , The International Court of Justice and the Western Tradition of International Law, Dordrecht 1987, 71. See also, Manfred Lachs, The Teacher in International Law, The Hague 1982, 31; Louis Henkin , H o w Nations Behave, London 1968; Terry G ill. Litigation Strategy at the International Level, Dordrecht 1989, 19. 29 For a very instructive assessment of the work of the ICJ, see Sir Robert Jennings , The International Judicial Practice of the International Court of Justice, in: B Y I L 49 (1988), 3147. But on the other hand, the Court has also been criticized that it was biased, politically overreaching its jurisdiction and that it was incapable of making determinations of fact. For a discussion on the arguments and counter-arguments of these points, see, for example, Thomas M. Franck , Judging the W o r l d Court, New York 1986, 35-63; Mc Whinney , ibid., Chapters I I I and IV.

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and the situation may deteriorate, making it increasingly difficult to begin a dialogue. Thus, even in cases where both sides are willing, the processes may be delayed or cannot take place simply because no one wants to take the first initiative. Whatever means the parties may have chosen, they need to first discuss certain preliminary issues before they can address the substantive issues. This is true even in "negotiation". The parties need to first resolve such concerns as venue, frequency of meetings, seating arrangements, size of delegation, language, records, communique, and agenda. A l l these are subject to agreement by the parties concerned. Compromises will have to be made if divergent views exist. Since many of these concerns directly or indirectly affect the substance of the dispute, neither side will take them lightly. The discussion on preliminary points can be just as controversial and time-consuming as the substantive issues of the conflict, which can only begin after all the preliminary issues have been resolved by agreement between parties concerned. In other cases, the parties will need to discuss organizational aspects of the "mechanism" to be established for the purpose of enquiry, fact-finding, mediation, conciliation or arbitration, or judicial settlement, unless detailed arrangements have already been agreed upon. Such organizational aspects include competence, composition, methods of work, duration, termination, financial expenses, outcome of the work (report, recommendation, decision, award, etc.). The parties may, of course, leave some of these issues to be dealt with by the "mechanism" itself and focus simply on creating the mechanism. In the case of arbitration and judicial settlement the parties also need to prepare a compromis or special agreement to be submitted to the tribunal or court, which is very time-consuming and extremely difficult to negotiate. Each of the above-mentioned issues may contain seeds of disagreement. Should any party wish to delay the processes, it has many opportunities to do so — literally on any item and at any point. Only when all these points are agreed upon will the process start. Problems may also arise from the interpretation or application of the dispute clause itself. Like other instruments, the wording may be ambiguous, or the mechanism (e. g., arbitration or mediation commission) may be defective or the circumstances may have changed. If the parties are willing to deal with the problem, they can usually resolve the difficulty. But if either party is hesitant, for whatever reason, to implement the clause, a difference in interpretation can be fabricated to delay or avoid implemention. When a dispute clause is not well crafted, one party can often undermine the duty to implement by the denial of the existence of a dispute, by the assertion that certain procedures (e. g., negotiation or conciliation) must be taken first, or by delaying or refusing to appoint its own arbitrator. 30 A n impasse is created. Unless a new way is found to deal with the cause 30

A case in point is the Interpreation of Peace Treaties (ICJ Reports, 1950), 228 and 229

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of the delay or the avoidance, the impasse continues. 31 The difficulties which may be encountered during the implementation of a settlement of dispute clause are therefore considerable. Ways must be found to address those problems. Their importance is further underscored by the fact that such difficulties may be encountered in any given case of thousands of bilateral and multilateral treaties which are currently in operation forming the legal basis for the conduct of States and international institutions. where one party to the dispute refused to appoint its arbitrator and therefore prevented the composition of the Tribunal. 31 I n order to illustrate this point, reference is made to the Palestine Observer Mission case. In December 1987, an Anti-Terrorism Act was signed into US law, requiring inter alia the US Government to close the Palestine Observer Mission to the United Nations in New York. The A c t was to take effect on 21 March 1988. Ever since the US Senate began considering the question in May 1987, there had been communications between the Secretary-General and the US Mission to the United Nations and the State Department. The Secretary-General had expressed the view that the closing of the Palestine Observer Mission was a violation of the obligations assumed by the US Government under the U N Headquarters Agreement of June 1947. The General Assembly adopted resolution 42/210 Β of 17 December 1987 requesting the host country to abide by its treaty obligations and to refrain from taking any action that would prevent the discharge of the official functions of the P L O Mission to the United Nations. Subsequently, the Secretary-General wrote several times to the US Government requesting assurance that the P L O Mission would not be closed. Unable to receive such an assurance, the Secretary-General invoked, on 2 July 1988, the settlement of disputes clause contained in Section 21 of the U N Headquarters Agreement, which reads as follows:

"a) Any dispute between the United Nations and the United States of America concerning the interpretation or application of this agreement or of any supplemental agreement, which is not settled by negotiation or other agreed mode of settlement, shall be referred for final decision to a tribunal of three arbitrators, one to be named by the Secretary-General, one to be named by the Secretary of State of the Unites States, and the third to be chosen by the two; or, if they should fail to agree upon a third, then by the President of the International Court of Justice." The US Government, however, argued inter alia that there was no dispute as the Act had not been put into force and that the Mission's Office had not been closed. O n behalf of the United Nations, the Secretary-General, pursuant to Section 21, appointed an arbitrator and requested the US Government to follow suit. The latter, however, did not respond and insisted that negotiation should continue. O n 2 March 1988, the Assembly adopted unanimously resolution 42/229 A and Β declaring that the US Act was contrary to the host country's international legal obligations, that a dispute existed between the United Nations and the United States of America and that the dispute settlement procedure set out in Section 21 should be set in operation. The United States continued to express the view that its Government had made no formal decision concerning the application or enforcement of the 1987 Act. Since Section 21 was not crafted in such a way as to trigger the appointment of the second arbitrator in the absence of US co-operation, no tribunal could be constituted to deal w i t h the dispute. Meanwhile, the 1987 A c t was soon to take effect on 21 March 1988. Faced w i t h this impasse, the Secretary-General reported to the General Assembly and proposed that it request an advisory opinion from the International Court of Justice independently under Article 96 of the Charter (i. e., not pursuant to Sec. 21 of the U N Headquarters Agreement referred to earlier). The General Assembly followed the advice

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T h e preceding discussion o f the various difficulties w h i c h c o n t r i b u t e i n one way o r another t o States' record o f infrequent resort t o dispute settlement procedures also helps t o i d e n t i f y the areas where assistance is needed: (1) the p r e v e n t i o n o f disputes at an early stage; (2) disputes and situations w h i c h are n o t c u r r e n t l y u n d e r i n s t i t u t i o n a l management; (3) i m p l e m e n t a t i o n o f dispute settlement procedures; (4) financial and technical assistance t o countries i n a r b i t r a l and j u d i c i a l proceedings. T h e nature o f assistance and h o w i t can best be p r o v i d e d may be analyzed as f o l l o w s : (1) f a c i l i t a t o r - i n i t i a t e d assistance; (2) f a c i l i t a t i o n o f dispute p r e v e n t i o n ; (3) f a c i l i t a t i o n o f dispute management and s o l u t i o n ; (4) technical and conference services; (5) f u n c t i o n a l approach t o dispute settlement; (6) i n t e r n a t i o n a l financial legal assistance. Before g o i n g i n t o the substantive issues o f f a c i l i t a t i o n , i t may be useful t o review the basic considerations w h i c h m u s t be observed b y an e n t i t y i n t e n d i n g t o offer assistance t o t h e parties i n a dispute. I n the field o f peaceful settlement o f disputes, States are t h e exclusive principals and enjoy freedom o f a c t i o n ( w h i c h also includes n o n - a c t i o n ) . T h e consent o f the recipient States is required i n all cases and such and requested on 2 March 1988 by its resolution 42/229 A , an advisory opinion from the Court. The question addressed to the Court was: " I n the light of facts reflected in the reports of the Secretary-General [A/42/915 and add. 1], is the United States of America as a party to the Agreement between the United Nations and the United States of America regarding the Headquarters of the United Nations, under an obligation to enter into arbitration in accordance w i t h Section 21 of the Agreement?" O n 11 March 1988, the US Government informed the Secretary-General that its Attorney-General had determined that he was required by the 1987 Act to close the P L O Mission. If the P L O did not comply, he would initiate legal action to close the Mission on or about 21 March 1988, the effective date of the Act. The International Court of Justice delivered an advisory opinion on 26 A p r i l 1988 in support of the position taken by the Secretary-General. Despite the favourable advisory opinion, no appropriate action was taken by the US Government. Meanwhile, the United States had already initiated, as noted earlier, legal proceedings in a domestic court of the United States against the Palestine Observer Mission in order to obtain judicial authorization to close the Observer Mission. The United Nations was formally admitted as amicus curiae in the case. The US District Court for the Southern District of New York issued its decision on 29 June 1988. By that decision, the Court rejected the authorization sought by the United States and the decision was not appealed subsequently. While in the end, the issue was resolved and the Palestine Observer Mission was not closed, what made this possible was not, alas,'international law but the decision of a national court. For details of this case, see Applicability of the Obligation to Arbitrate Under Section 21 of the United Nations Headquarters Agreement of 26 June 1987, Advisory Opinion of 26 A p r i l 1988,1988 Reports of Judgments , Advisory Opinions and Orders. See also United States v. Palestine (U.S. Obligations under the U N Headquarters Agreement; U.S. Anti-Terrorism Act) (June 29, 1988). Test printed in International Legal Materials , vol. 27, 1055 (1988).

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consent will be forthcoming only if their objectives are met and interests are served. A facilitator intending to offer its services to the parties can only be successful if it its proposals fully take into account such objectives and interests. States normally do not appreciate outside interference. Even the best intended assistance may be misinterpreted. States want control over any matter of importance to them and seek to avoid making commitments. A facilitator must therefore seek co-operation from States which can only be persuaded, not compelled, to consider any assistance offered to them. I n this regard, the Secretary-General of the United Nations, M r Pérez de Cuéllar has said the following: In situations of confrontation, the parties to a dispute are extremely sensitive. The only instrument I can use is persuasion. When successful, it is a more powerful weapon than constraint, for it makes the persuaded party an ally of the solution. But to be able to persuade, you must prove the virtues of a solution, demonstrate the need to compromise and convince the party concerned that an agreement today is much more advantageous for it than a doubtful victory tomorrow. I t is here that inventiveness is essential. We have to stretch our imagination to discern points of potential agreement even where at first sight they look non-existent. Even more important is patience, the refusal to give up in the face of apparently hopeless odds. Patience is greatly helped by the realization that in so many areas, some of the great problems of today reflect the accumulation of violations, mistakes and passivity stretching over long periods. Hence, the difficulty of reconciling different positions, and hence also, its acute urgency. 32

States should also be approached informally and discreetly. Publicity must be avoided and confidentiality is critical. A facilitator needs to earn the confidence of the parties, which demands skill, integrity and objectivity. Moreover, both parties must be approached on an equal footing entirely without favouritism. The facilitator must be acceptable to all the parties involved. There is no objective test of the acceptability of a facilitator; it is subjectively determined by the parties themselves. I t is essential that a facilitator remain entirely neutral in its relations to the parties, their positions and to the situation itself. The task of the facilitator is to help the parties to overcome their difficulties and this requires the facilitator to be totally detached from the controversy and from the parties themselves. 1. Facilitator-Initiated

Assistance

Whenever possible, a facilitator should himself initiate assistance to the parties instead of waiting to be asked. Parties in a dispute may be too preoccupied to ask for help. Also, they are normally reluctant to request assistance from outside. To make such a request means that they must first obtain internal approval to do so, 32

Address delivered at Jagiellonian University, Cracow, Poland on 19 February 1984, upon receiving honourary degree from that University, SG/SM 3525,21 February 1984, U N Press Release, 4.

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which is not always possible or deemed appropriate. The main difficulty is that States will not admit explicitly or implicitly that they need help. Facilitation should therefore be automatic and not based on request from one or both parties. Even when a facilitator is requested by one side, the other side is likely to reject it out of suspicion. Also, States may feel that to ask for assistance is to restrict their freedom of action: they would be inhibited from rejecting a proposal from the facilitator whom they had asked for help. For all these reasons, facilitator-initiated assistance is more efficient. I t can only be beneficial to the disputants, since they do not need to ask. If they do not wish to accept the offer, they just reject it. If they accept the offer, they need to concentrate only on the substance presented to them. Their consent to the offer does not imply that they are under any obligation to accept the substantive proposal put forward by the facilitator; States remain free decision-makers, their desire to retain control of the matter is not affected in any way. The right of initiative of the International Committee of the Red Cross (ICRC) as an instructive example. As soon as an armed conflict occurs, whether it is international or otherwise, the I C R C discreetly and quietly approaches the parties in conflict and offers them humanitarian assistance, including representation, sending medical staff and distribution of relief (food, clothing and medicine). The I C R C initiates the process and does not wait to be asked. States may be hesitant to request assistance, but since it is offered to them, they are more likely to consider it and accept it when it suits them. This taking the initiative approach and a strong 128-year track record have helped the I C R C to achieve its current reputation and world status. 33 A n institution able to play a comparable rôle in the field of peaceful settlement of disputes is very much needed. 34 A t present, the opportunities for facilitator-initiated assistance exist mostly through the office of the Secretary-General of the respective regional or international organization. In general, for reasons of constitutional requirements, such assistance is provided mostly for armed conflicts and crisis situations. These are the most contentious cases and the most difficult to handle. A brief review of these existing opportunities follows: (1) Under the League of Arab States, 35 the League's Secretary-General may draw the attention of the Council or the Member States to "any question that might prejudice the relations between Member States or between Member States 33 O n 16 October 1990, the General Assembly of the United Nations granted the I C R C an observer-status in consideration of the special role and mandate conferred upon it by the Geneva Conventions of 12 August 1949. The I C R C is the only non-governmental organization that has been granted such a status. The I C R C enjoys the right to participate in the sessions and work of the General Assembly. 34 35

See below Conclusion. For text of the Pact of the League, see U N Treaty Series, vol. 70, 255.

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and third states." 36 When compared w i t h Article 99 of the U N Charter, the League Secretary-General's right of initiative is broader in scope since the questions are not limited to those threatening the maintenance of international peace and security. 37 The League Secretary-General has used this initiative to conduct investigations, fact-finding and inquiries in several regional conflicts. 38 H e also offered his good offices, for example, in the 1958 Sudan-Egypt dispute and in the 1972 border crisis between N o r t h and South Yemen. 39 In 1963, he offered consultations and mediation to the governments of Algeria and Morocco to assist them in dealing with their boundary problem. 4 0 (2) According to Article X I of the American Treaty on Pacific Settlement (Pact of Bogota), any American Government not party to the controversy may offer its good offices " t o bring the parties together" so as to make it possible for them to reach an adequate solution between themselves. Any "eminent citizen" of an American State which is not a party to the controversy may also offer such assistance. The rôle of the good offices of the "eminent citizen" is a unique feature in this field. The purpose of such good offices is however limited to "bringing the parties together". 4 1 Once the parties have been brought together and have resumed direct negotiations, "no further action is to be taken". 4 2 From this point of view, the assistance is very specific but limited. Since 1985, the Secretary-General of the Organization of American States (OAS) has been given the right of initiative similar to that of the U N SecretaryGeneral under Article 99 of the Charter. 43 In 1986, he took the initiative of submitting an aide-mémoire to the governments of the five Central American States and the Contadora and Support Groups regarding possible assistance that might be provided by .UN and OAS, individually or jointly, for the purpose of promoting peace efforts in Central America. This initiative led to the request by the Contadora and Support Group States for the Secretaries-General of the U N and the OAS to visit the capitals of the five Central American countries in January 36 See Article 12 of the League Council's Internal Regulations. This broad authority is unique amongst the constitutions of international organizations. 37 See below , sub-section (3). 38 Including the 1961 Tunisia-France dispute over the Bizerta base, the 1961 Kuwait-Iraq territorial dispute and the 1963 Algeria-Morocco boundary problem. 39 For details of these cases, see Hussein A. Hassoune, The League of Arab States and Regional Disputes, New York 1975, Part II. 40 Ibid. 41

Article I X of the Pact of Bogota (text in United Nations Treaty Series , vol. 30, 55). Ibid. 43 O n 5 December 1985, the Protocol of Amendment to the Charter of the OAS, known as "Protocol of Cartagena de Indias", was adopted. Its Article 116 provides, inter alia, " T h e Secretary-General may bring to the attention of the General Assembly or the Permanent Council any matter which in his opinion might threaten the peace and security of the hemisphere or the development of the Member States." 42

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1987. T h i s paved the way f o r the subsequent f o r m u l a t i o n and e x e c u t i o n o f the Esquipulas I I A g r e e m e n t . (3) U n d e r the U N Charter, the Secretary-General is described as " t h e C h i e f A d m i n i s t r a t i v e O f f i c e r o f the O r g a n i z a t i o n " , and is given the special responsibilit y o f b r i n g i n g t o the a t t e n t i o n o f the Security C o u n c i l any m a t t e r w h i c h , i n his o p i n i o n , may t h r e a t e n the maintenance o f i n t e r n a t i o n a l peace and s e c u r i t y . 4 4 T h e o r i g i n a l drafters p r o b a b l y conceived o f the Secretary-General as a c i v i l servant w i t h m o s t l y a d m i n i s t r a t i v e f u n c t i o n s and the p o w e r o f A r t i c l e 99 was expected t o be used o n l y rarely, if at all, and t h e n o n l y after States had themselves failed t o b r i n g a c o n f l i c t o r s i t u a t i o n t o the a t t e n t i o n o f the C o u n c i l . 4 5 B u t , i n actual fact, the i m p l i c a t i o n s t h a t may be d r a w n f r o m the provisions o f A r t i c l e 99 have become the b r o a d legal basis for the c o n d u c t o f the g o o d offices o f the Secretary-General i n the r e d u c t i o n o f i n t e r n a t i o n a l tensions and abatement o f i n t e r n a t i o n a l c o n f l i c t s . 4 6 A n independent r i g h t o f i n i t i a t i v e o f the SecretaryGeneral i n this field has emerged t h a t consists o f p u r s u i n g investigations i n 44 See Article 97 and 99 of the Charter. For literature on this subject, see, for example, Stephen M. Schwebet, The Origins and Development of Article 99 of the Charter, in: B Y I L (1951), 371-382; idem , 371; The Secretary-General of the United Nations, New York 1952; K. R. Simmonds , Good Offices and the Secretary-General, in: Nordisk Tidsskrift fur International Ret og Jus Gentium 29 (1959), 330-345; Vratislav Pechota , The Quiet Approach: A Study of the Good Offices exercised by the United Nations Secretary-General in the Cause of Peace, a U N I T A R Study, Geneva 1972; also Brian Urquhart / Erskine Childers , A W o r l d in Need of Leadership: Tomorrow's United Nations, Sweden 1990; Lelald Goodrich / Edvard H ambro / Anne Patricia Simons , Charter of the United Nations: Commentary and Documents, New York 1969; B. G. Ramcheran , The Good Offices of the Secretary-General of the United Nations in the Field of Human Rights, in: A J I L 76 (1982), 130-141. 45 I n the past 45 years, this power was invoked officially only five times: in June 1948 in connection w i t h the Korean Case; in September 1959 in connection w i t h the situation in the Congo; in July 1961, in connection w i t h a complaint by Tunisia against France, arising out of actions by French naval and air forces against the Bizerta base; in July 1971 in connection w i t h a conflict between India and Pakistan; in February 1980 w i t h respect to the US hostages in Iran. 46

This development may have started in September 1964 during a Security Council discussion of the Greek question where outside Powers were charged w i t h intervening in civil strife in Greece. The Secretary-General, M r Trygvie Lie, expressed the view that he "must reserve his right to make such enquiries or investigations as he may think necessary, in order to determine whether or not he should consider bringing any aspect of this matter to the attention of the Security Council under the provisions of the Charter". (See Statement made by the Secretary-General on 20 September 1946 at the Security Council, S/PV.70, 20 September 1946). Such an investigation, he was saying, could be undertaken by him on his initiative without an express mandat from the Security Council and even in situations where the Council might have-vetoed other proposals before it for an inquiry. The right asserted by M r Lie became automatic for his successors. They have combined it w i t h the exercise of good offices and the two functions together have led to the appointment by the SecretaryGeneral of numerous special representatives to assit Government in the settlement of specific conflicts. M r Pérez de Cuéllar also takes the view that his authority under Article 99 necessarily carries w i t h it the power to investigate disputes or situations that can call that

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situations which might contain the seeds of danger to peace, and tendering his good offices or appointing his special representatives to assist governments in the settlement of specific disputes. 47 Recently, the Secretary-General has expressly been given a right of initiative particularly for the purpose of prevention of disputes. 48 H e may accordingly approach the State concerned and offer his good offices with a view to preventing a situation from becoming a threat to peace. H e does not need any further authorization nor need he wait for the State to ask for help. Armed with this right of initiative, he may make full use of his good offices (including the sending of a Article into play. See pronouncements, of the Secretary-General contained in U N Press Release SG/SM/3342 and SG/SM/3560 in his Press Conferences given in 1982 and 1984. 47 Although good offices are not mentioned in Article 33 of the U N Charter as a means for the settlement of disputes, it is nevertheless an important tool for dealing w i t h crisis situations. I n the early days of the United Nations, the Security Council itself used to extend its good offices. For example, the Security Council made available its good offices in 1947 to the Netherlands and Indonesia in order to assist them in resolving their hostilities; in 1956 w i t h respect to the Palestine question for securing compliance w i t h the armistice agreement; in 1958 towards the settlement of several incidents between France and Tunisia. See Repertoire of Practice of the Security Council , Supplement 1956-1958, Chapter I, Part I V and Chapter V I I I , Part I I and Chapter X . In more recent years, the good offices of the Secretary-General have been more widely used; some of the best known missions in the last few years include the situation relating to Afghanistan, the decolonization of Namibia, the situation of armed conflicts in Central America, and the settlement of the question of Western Sahara. A detailed list of the use of the good offices of the Secretary-General may be found in the Handbook on the Peaceful Settlement of Disputes between States, ibid. 4554. See also The Blue Helmets: a Review of United Nations Peacekeeping, U N Publication, 1990, 449 pp., at Part V I I I operations established in 1988 and 1989. 48

This is based on paragraph 21 of the 1988 Declaration on the Prevention and Removal of Disputes and Situations which may Threaten International Peace and Security and on the Rôle of the United Nations in the Field (hereinafter referred to as "1988 Declaration on Prevention and Removal of Disputes and Situations"). For text of the Declaration, see General Assembly resolution 43/51, annex. Official Records of the General Assembly , Forthy-third session. Supplement N o . 49. See also below Sub-section 2, Facilitation of Dispute Prevention. Paragraph 21 states that the Secretary-General "should consider approaching the States directly concerned w i t h a dispute or situation in an effort to prevent it from becoming a threat to the maintenance of international peace and security". While different views may be expressed about the legal effects of General Assembly resolutions, their being applicable to on the Secretariat is beyond question. I t should also be noted that the draft Declaration on fact-finding of the United Nations (A 46/33, p. 9, paragraph 13) adopted by the Charter Committee states, inter alia , "13. The Secretary-General, on his own initiative or at the request of States concerned, should consider undertaking factfinding missions when a dispute or situation exists/' Paragraph 28 of the draft Declaration provides that the Secretary-General "should monitor the state of international peace and security" regularly and systematically in order to provide early warning of disputes or situations which might threaten international peace and security. H e may also bring "relevant information to the attention of the Security Council and, where appropriate, of the General Assembly." Paragraph 29 further provides that to this end the SecretaryGeneral should make full use of the information gathering capabilities of the Secretariat and keep under review the improvement of these capabilities.

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representative or fact-finding mission to areas where a dispute or situation exists). The Secretary-General has also been encouraged to consider using "at as early a stage as he deems appropriate" the right that is accorded to him under Article 99 of the Charter to call the attention of the Security Council to any matter which in his opinion may threaten the maintenance of international peace and security. 49 I n short, the Secretary-General of the United Nations has now both in law and in practice a right of initiative. When to use such initiative is, however, determined by his political judgement of the situation. I n a political institution such as the United Nations, the circumstances in which the Secretary-General may exercise his right of initiative are inevitably restricted by political factors which may override other considerations. Practice shows that the integrity of his Office requires that this action must be beyond the criticism of States. Consequently, he needs at least the tacit consent of the Security Council, if not its express endorsement, in order to exercise his initiative. 2. Facilitation of Dispute Prevention I n order to promote the resort to pacific settlement of disputes, the subject needs to be approached in a systematic manner from dispute prevention to dispute management and dispute solution. 5 0 N o measure can effectively prevent disputes from arising. States may try to deal w i t h and resolve the situation as early as possible. Thus, States should consult w i t h each other regarding actions by one State likely to affect the interest of another. Where possible, they should notify others of any events or activities that are likely to cause harm to them. In the field of nuclear activities, notification procedures have been introduced by a multilateral treaty requiring the contracting parties to notify as early as possible (directly or through the International Atomic Energy Agency) neighbouring States in the event of any international trans-boundary release that could be of radiological safety significance for other States and to provide relevant information about such a release in order to minimize the consequences.51 Similar procedures of consultation and notification might be usefully introduced in the event of drought, flood, famine and other natural disasters, which often lead to mass movement of populations creating problems for the neighbouring countries. 49 See paragraph 23 of the 1988 Declaration on Prevention and Removal of Disputes and Situations. 50 I t is difficult to demarcate these three areas since, in fact, they are a continuous sequence. Nevertheless, the articulation helps to focus on the issues involved. 51 See Articles 2, 5 and 6 of the Convention on Early Notification of a Nuclear Accident of 26 September 1986. The Convention entered into force on 27 October 1986. For details of the Convention and its negotiating history, see A. O. Adede , The I A E A Notification and Assistance Convention in Case of a Nuclear Accident, London 1987.

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The United Nations has recently turned its attention to the question of prevention and removal of disputes and situations which may threaten international peace and security. The adoption in 1988 by the General Assembly of a Declaration on the subject signifies an important step on the part of the world community. 5 2 The Declaration addresses States as well as the Security Council, the General Assembly and the Secretary-General, and recommends to them various measures that they should take into account with a view to dealing with disputes at an early stage. Mechanisms provided in the international or regional organizations are normally designed to bring a dispute or situation into a political forum (e. g., to the attention of the General Assembly or to the Security Council of the United Nations). 5 3 But, even when a case is successfully brought before an organization, the problem is not automatically resolved. 54 Often, public debate and open confrontation in a political institution merely serve to publicize and even harden the opposing positions of the parties and their allies; each side using the occasion to attack the other side or to reiterate its own position. Such open debate and confrontation do not help to resolve the problem. Informal approach and confidential contacts conducted behind the scenes have, however, proven most helpful in preventing a situation from further deterioration. Thus, even when a State wishes to bring a situation to the Security Council, it should be encouraged to approach the Council at an early stage and on a confidential basis. 55 The aim is to allow quiet diplomacy and informal consultations to take place with a view to diffusing a potential conflict. In improved and still improving world relations, this approach is likely to yield positive results. The Declaration recognizes the special rôle of the Security Council in the prevention of disputes and situations. The Security Council was thus encouraged to use informal methods, including confidential contacts by its President for the purpose of conducting consultations and to consider sending, at an early stage, fact-finding or good offices missions or establishing appropriate forms of U N presence (including observers and peacekeeping operations) as a means of preventing the further deterioration of a situation. 5 6 52

See above (note 48). O f 223 dispute cases, 137 (or 73 %) were referred to the United Nations; 86 (or 27 %) of the cases were referred to regional organizations. U N I T A R Study, op. cit. (note 3), 13 and 59. 54 See above (note 11). 55 See, for example, paragraph 6 of the 1988 Declaration on the Prevention and Removal of Disputes and Settlements which provides that " A n y State party to a dispute or directly concerned w i t h a situation, particularly if it intends to request a meeting of the Security Council, should approach the Council, directly or indirectly, at an early stage and, if appropriate, on a confidential basis". 53

56 These ideas were contained in paragraphs 10,11 and 12 of the U N 1988 Declaration on Prevention of Disputes and Situations.

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E v e n a m o s t c o m p l i c a t e d p o l i t i c a l s i t u a t i o n may c o n t a i n elements o f a legal nature. A p r o n o u n c e m e n t b y an a u t h o r i t a t i v e j u d i c i a l b o d y o n the legal p o s i t i o n o f a specific p o i n t m i g h t sometimes serve t o pave the way t o an overall s o l u t i o n . I n such a s i t u a t i o n , i t may be useful t o request, at an early stage, an advisory o p i n i o n f r o m the I n t e r n a t i o n a l C o u r t o f J u s t i c e . 5 7 A t present, this r i g h t may o n l y be exercised b y f o u r o f the six p r i n c i p a l organs o f the U n i t e d N a t i o n s : the General A s s e m b l y , the Security C o u n c i l , the E c o n o m i c and Social C o u n c i l and the Trusteeship C o u n c i l . T h e Secretary-General is n o t a u t h o r i z e d t o request advisory opinions.58 T h e Secretary-General certainly assumes a special rôle i n the p r e v e n t i o n o f disputes and, as previously discussed, this rôle is recognized i n the 1988

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D e c l a r a t i o n . 5 9 H e has been given a r i g h t o f i n i t i a t i v e and is encouraged t o use A r t i c l e 99 as early as possible and t o respond s w i f t l y t o States requesting his assistance and t o offer his g o o d offices and such o t h e r means at his disposal as he deems a p p r o p r i a t e . 6 0 W i t h respect t o his rôle i n p r e v e n t i o n and removal o f disputes, M r Pérez de Cuéllar

has expressed the f o l l o w i n g view:

Most potential conflict areas are well-known. The Secretary-General has traditionally, if informally, tried to keep watch for problems likely to result in conflict and to do what he can to pre-empt them by quiet diplomacy. The Secretary-General's diplomatic means are, however, in themselves quite limited. In order to carry out effectively the preventive rôle foreseen for the Secretary-General under Article 99,1 intend to develop a wide and more systematic capacity for fact-finding in potential conflict areas. Such efforts would naturally be undertaken in close coordination w i t h the Council. Moreover, the Council 57 Paragraph 19 of the 1988 Declaration suggests that the General Assembly should consider requesting an advisory opinion at an early stage. 58 I n his 1990 Annual Report to the General Assembly, the Secretary-General suggested that consideration shall be given to authorizing the Secretary-General to request advisory opinions. See Report of the Secretary-General on the W o r k of the Organizations, 16 September 1990, Official Records of the General Assembly, Forty-fifth Session , Supplement No. 1 (A/45/1). 59

Section I I I . l (3). I n this connection, it may be noted that since 1987, an Office for Research and the Collection of Information has been established in the U N Secretariat. The main functions of this Office are: (i) to assess global trends; (ii) to prepare country, regional, sub-regional and issue-related profiles in close consultation w i t h offices dealing w i t h negotiation and conflict resolution functions in the Secretariat; (iii) to provide early warning of developing situations requiring the Secretary-General's attention; (iv) to maintain current information in data systems, consulting w i t h inside and outside data banks, as appropriate; (v) to monitor factors related to possible refugee flows and comparable emergencies; (vi) to carry out ad hoc research and assessments for the immediate needs of the Secretary-General; (vii) to receive, consolidate and distribute political information from the media and from the United Nations information centres on developments related to peace and security for use by the Secretary-General and his senior staff. As it may readily be seen, the rôle of the Secretary-General in dispute prevention is strengthened w i t h the assistance of this Office. 60

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itself could devise more swift and responsive procedures for sending good offices missions, military or civilian observers or a United Nations presence to areas of potential conflict. Such measures could inhibit the deterioration of conflict situations and might also be of real assistance to the parties in resolving incipient disputes by peaceful means. 61

Indeed, it is in this area that M r Perez de Cuéllar has made his own particular contribution to the growth of the office of the Secretary-General as an institution of international importance.

3. Facilitation of Dispute Management and Solution The prime responsibility for dispute management rests w i t h the States concerned. They should endeavour to detect any situation which may lead to deterioration of relationship w i t h another State. Once detected, it should be treated as early as possible and neither party should take any action which might aggravate the situation, making it more difficult to achieve a peaceful solution. States should take measures to manage their disputes pending their resolution. They should consider seriously any assistance offered to them by a facilitator. They may also wish to approach the other party directly or through a facilitator, w i t h a view to adopting interim measures to freeze the dispute or situation. States' good faith and a spirit of co-operation are indispensable in searching for a solution acceptable to all parties concerned. States should always consider whether a facilitator can offer any useful assistance and, whenever possible, allow it full opportunity to perform its services. In searching for a solution, a facilitator's most valuable contribution is his creativity in proposing options to the parties for consideration. I n order to be creative, a facilitator needs to seek separately or jointly, appropriate contact with the parties that will permit it to proceed in an informal and flexible manner and seek information and comments from the parties so as to enable it to assist them in identifying suitable procedures for finding a solution. The facilitator may make general or specific comments or offer advice of various kinds. The functions of a facilitator may be listed as follows: (1) to approach privately the parties to a dispute as early as possible in order to act as an intermediary; (2) to encourage the parties to participate fully in the process; (3) to widen the vision of the parties, helping them to understand the problem, each other's views and the processes of decision-making in the other party so as to avoid misunderstanding or unintended actions; 61 1982 Report of the Secretary-General to the General Assembly, Official General Assembly, Thirty-seventh session , Supplement No. 1 (A/37 (1), 3.

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(4) to be supportive of all parties by supplying them w i t h professional knowledge and expertise needed to deal with the situation; (5) to provide an analytical and exploratory framework for the parties in which the issues are broken down into manageable components, and the parties can explore together various options on a non-committal and confidential basis; (6) to stimulate both sides to begin a constructive dialogue by generating, on a continuous basis, various possible options for dealing w i t h the problem; (7) to assist both parties by analyzing objectively the implications of the possible options; (8) to help identify common interests of the parties; to help develop a series of options, which may bring the parties together to form a new relationship; to be innovative in translating the parties' common interests into activities or structures that would promote such interests (see below, Functional Approach ). (9) to develop draft texts for the consideration of both parties. The most important asset of a facilitator is his capabilities and expertise in conflict resolution. There now exists a wide spectrum of methods (both in terms of processes and techniques) in conflict management and problem-solving, the result of years of studies in many fields of inquiry. 6 2 Both research and applied institutes are now in operation and are carrying out interesting and useful programmes and activities. 63 I t may be worthwhile to establish a connection amongst the relevant institutions to create a resource network. Many information-gathering services, either on a geographic or on a subject matter basis, have come into existence in the fields of human rights, refugees, natural disasters, disarmament and environment. 64 Together, they constitute an elaborate information system. I t would be exceedingly valuable to create a means of digesting and synthesizing the information gathered by these institutions so as to identify actual and potential problem areas, to analyze the underlying causes and to translate these studies into action-oriented projects prepared in advance by 62 See, for example,/. W. Burton, Global Conflict, Brighton: Wheatsheaf, 1984; Stephen B. Goldberg et al., Dispute Resolution, Boston 1985; Roger Fisher / Scott Brown, Getting Together: Building a Relationship that Gets to Yes, Boston 1988\ Jeffrey Rubin et al., The Second Psychology of Bargaining and Negotiation, New York 1975; Michael C. Kelman, The Problem-Solving Workshop in Conflict Resolution, in: R. L. Merritt, Communication in International Politics, London 1972; Leo Kanowitz, Alternative Dispute Resolution Materials, Minneapolis 1985. 63 See, for example, the work of the Carter Centre at Emory University, Conflict Management Group at Harvard University; and Rearmament Moral. 64

See, for example, the work of agencies such as Amnesty International, the various H u m a n Rights Watches, Early Warning (issued by Mid-Atlantic Research Associates, Inc., (Washington)) and Famine Early-Warning Systems (Oxford, England), the Lawyers Committee for H u m a n Rights, the US Committee for Refugees, Stockholm International Peace Research Institute (SIPRI).

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interdisciplinary groups of experts from such relevant fields as law, conflict management, international relations, behavioral sciences, sociology, etc.

4. Technical and Conference Services A facilitator can provide technical and conference services to overcome some of the difficulties encountered by the parties during the implementation of dispute settlement procedures. 65 One of the most useful contributions is in communication. Parties to a dispute may be hesitant to make contact with each other; such initial contacts could be made for them by a facilitator. Where the channel of communication has broken down, a facilitator can provide and maintain a link. Regardless of the means of dispute settlement chosen by the parties, they need to discuss many organizational issues, which are prerequisites to the establishment of any enquiry, fact-finding, conciliation, mediation or facilitation. The discussions of organizational issues can be time-consuming and may lead to deadlock. A compromise reached by the parties may not always be the best for both parties, whereas a facilitator can propose a plan that best suits the interests of both parties. Thus, a facilitator can furnish relevant technical information relating to, for example, the choice of venue, size of delegation, frequency of meeting, security arrangements, seating, language (interpretation and translation), records, communique, press releases and briefings, etc. Such information should be organized in a comprehensive and systematic manner to maximize the benefit to both parties. The selection or appointment of members to the mechanism (e. g. a Commission) to be established for the purpose of conducting enquiry, conciliation, factfinding, mediation'or facilitation may sometimes create problems for the parties. Both parties need to have access to qualified candidates. Candidates proposed by one party are likely to be rejected by the other party. A facilitator can help by providing lists of neutral candidates, making proposals and then leaving the parties to decide. Such assistance can be of great benefit particularly in cases where the dispatch of such a mission is urgent. A facilitator can prepare relevant information on the backgrounds and experiences of the potential candidates, and ascertain their availability. A facilitator can also provide referral services for legal and technical experts needed in legal proceedings. Similarly, a facilitator can also prepare lists of competent persons who may be appointed to serve as registrar and as members of the registry. The preparation by the parties of a compromis is a specially difficult and timeconsuming task; often the process becomes protracted. But such an agreement is indispensable in the case of submission to ad hoc arbitration or submission to the International Court of Justice under Article 36 (1) of the ICJ Statute. A compro65

For those difficulties, see Section I I above.

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mis for the latter would need to state, for example, the question to be submitted, which requires negotiations between the parties. In this, a third party can be of great assistance. A compromis for an ad hoc arbitration must deal with many more issues: the composition of the tribunal (including the size and the manner of appointments and the filling of vacancies; the appointment of agents of the parties; the questions to be decided by the tribunal; the rules of procedure and method of work of the tribunal (e. g., languages to be used); the applicable law, the seat, the registry, the expenses, etc. While some of the issues are too sensitive and must be handled by the parties themselves, discussions on many of the issues can be greatly assisted by research, analysis, and preparation of drafts provided by a facilitator.

5. Functional Approach to Dispute Settlement More than one hundred known boundary, transboundary and territorial disputes exist. 6 6 About half of these disputes are active and many of them have gone through some form of settlement of dispute procedures. Many of those cases involve resources — oil, gas, minerals or ground water. In some cases because the area is under dispute, the risk involved has inhibited or deterred commercial investment. Meanwhile, the dispute remains unresolved and the resources unexploited. In the past thirty years, many joint development projects have been concluded involving resources under dispute, to the economic benefit of both sides. The Ems-Dollart Petroleum Development Project between the Netherlands and Germany has promoted a partial settlement of the boundary problem between the two countries in that region. 67 Japan and the Republic of Korea have established a joint development zone in the South China Sea in the disputed continental shelf 66 For a list of those disputes, see Alan Day (ed.), Border and Territorial Disputes, Detroit 1985. David Downing (ed.), A n Atlas of Border and Territorial Disputes, London 1990; Friedrich Kratochwil / Paul Rohrlich / Harpreet Mahajan , Peace and Disputed Sovereignty: Reflections on Conflict over Territory, London 1985. The following examples may be cited: Chad and Libya over the uranium-rich Aouzou Strip; Cambodia and Thailand over the Gulf of Thailand; Morocco and Spain over Spanish enclaves of Ceuta and Melilla; Namibia and South Africa over Walvis Bay and Penguin Islands; Sweden and Finland over the Aland Islands continental shelf; China and Japan over Senkaku Islands; China and Viet N a m over the Gulf of Tonkin; Canada and France over resource-rich islands of St. Pierre and Miguelon in the Gulf of St. Lawrence; Guyana and Venezuela over the Essequibo region; Belize and Honduras over Sapodilla Cay; Irag and Kuwait over the territory. 67 See G. Tanza , A New Treaty Response for Ems-Dollart Region, in: International Journal of Estuaries and Coastal Law 2 (1987), 123-143 133; Hans-Dietrich Treviranus , Der deutsch-niederländische Ems-Dollart-Vertrag, in: Zeitschrift für ausländisches öffentliches Recht und Völkerrecht 23 (1963), 536-553. See also J. A. Khan, The International Law of Joint Resource Development, Ph. D . Thesis of the Fletcher School of Law and Diplomacy, (May 1991).

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area between the two countries. 68 Sudan and Saudi Arabia resolved their boundary resource dispute in the Red Sea by creating a joint project to commonly exploit the Red Sea metalliferous hot brine. In the Persian Gulf area, four joint development projects (Saudi Arabia / Kuwait, Bahrain / Saudi Arabia, A b u Dhabi / Qatar, Saudi Arabia / Abu Dhabi) have been successfully launched in areas covering transboundary oil fields. There is also the French and Spanish special petroleum development zone in the Gulf of Biscay covering some 800 square miles. The Conciliation Commission on the status of Jan Mayen Ridge established by Iceland and Norway in 1980 recommended the creation of a joint development plan for the area between the two countries. The plan was subsequently incorporated into a comprehensive delimitation agreement. 69 Tunisia and Libya jointly established in 1988 a petroleum exploration zone in the Gulf of Gabes, following an idea expressed in Judge Evensen s dissenting opinion in the 1982 ICJ Judgment concerning the TunisiaLibya Continental Shelf Boundary Dispute. 7 0 The success of such projects suggests that it is feasible in some cases to adopt a functional approach to disputes involving resources by creating between the disputants a joint development programme of the resources in the disputed area. Such a programme cannot only bring economic benefit to the parties but also provide a legal basis for dealing with the dispute. The contentious problems of boundary dispute or jurisdictional claims are set aside by the creation of a joint economic interest in the development of the resources in the disputed area. Two components are necessary to make a successful plan. First, a total freeze of all claims and assertions by the parties would take place during the life of the plan. During that period, no new claims would be allowed and the respective legal positions would be preserved and would not be prejudiced. Second, an agreed joint development plan would come into force to explore and exploit the resources in the disputed areas. The project would be jointly managed by the parties themselves or by a third party. Costs and benefits would be shared by the parties. A functional approach is most likely to succeed in cases where both parties have a particular economic interest in developing the resources. Such an approach is also more likely to be found acceptable for dealing w i t h resources in the maritime zones (the offshore areas, the continental shelf or the economic zone) where there is no human settlement and the main contention is over the rights to explore and exploit the resources. 68 I. T. Gault, Joint Development of Off-shore Mineral Resources, in: National Resources Forum 12 (1988), 275-286; C h o o n - H o Park , East Asia and Thailand of the Sea, Seoul 1983, 150. 69 Elliot L. Richardson , Jan Mayen in Perspective, in: A J I L 82 (1988), 443-458 (445). 70 ICJ Reports (1982), 321; see also Hazel Fox (ed.), Joint Development of Offshore O i l and Gas, London 1989, 64.

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6. International

Financial Legal Assistance

The provision of financial assistance to persons engaged in legal proceedings is a well-developed mechanism in municipal law. N o comparable mechanism exists in international law. Notwithstanding the fact that the basis of legal aid in municipal law is different, it seems appropriate to introduce a similar but distinct approach in the field of international law to facilitate settlement of disputes. I n 1989, the Secretary-General of the United Nations established a Trust Fund to provide financial assistance to States in their settlement of disputes through the International Court of Justice. The Fund covers only two categories of cases: (1) cases submitted to the ICJ by a special agreement of the parties (or compromis ); (2) cases where both parties are ready to implement a judgment of the ICJ, but one or both lack funds or expertise. 71 The chief reason for the limitation to cases of special agreement (or compromis) is to avoid any possible controversy over the jurisdiction of the Court. The principle is that the jurisdiction of the Court must not be in question in any case assisted by the Fund. When a case is submitted on the basis of a compromis , the Court's jurisdiction is certain and secured. Moreover, this restriction ensures that funds are not used against a donor to the Trust Fund. Obviously, cases under the Optional Clauses are not eligible for funding. The intention here is not to diminish the rôle of the Optional Clause currently in effect between 51 States. Whereas with a special agreement (or compromis) there is unlikely to be any dispute about jurisdiction of the Court or the admissibility of the case to the Court, this may not be true of any Optional Clause Case no matter how clear prima facie the declaration of acceptance may be. The Fund could be criticized if the party which is not assisted by the Fund contests the jurisdiction of 71

See Terms of Reference, Guidelines, and Rules of the Secretary-General's Trust Fund to assist States in their settlement of disputes through the International Court of Justice (November 1989), also published in International Legal Materials (November 1989). According t o the Terms of Reference, an Application should be accompanied by: (a) a copy of the special agreement; i. e., the compromis ; (b) an itemized statement of the State's costs for which financial assistance from the Fund is requested, and (c) an undertaking that the requesting State shall supply a final statement of account providing details of the expenditures made from the approved accounts, to be certified by an auditor acceptable to the United Nations. The financial assistance that may be provided under the Trust Fund is intended to cover such expenses as preparation of memorials, counter-memorials and replies; fees for Counsel, experts and witnesses; legal research fees; interpretation and translation costs and expenses of producing technical materials (e. g., charts and maps). For the purpose of examining the Application, the Guidelines provide that for each Application a Panel of Experts composed of three persons of the highest juridical and moral standing be established. The task of the Panel is to examine whether the Application complied with the requirements mentioned above and to recommend to the Secretary-General the amount of financial assistance to be given and the type of expenses for which the assistance may be used. The work of the Panel is to be conducted in strict confidentiality and its recommendation is to be guided solely by the financial needs of the requesting State and the availability of the Trust Fund.

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the Court or charges the assisted party with political motivations. This would reflect badly on the United Nations and the Court. I t was therefore the decision of the Secretary-General that the Fund should not be exposed to such risks. For similar reasons, the Fund does not cover cases brought to the Court pursuant to a compromissary clause contained in a bilateral or multilateral treaty. In those cases, the jurisdiction of the Court may also be contested. In a political institution such as the United Nations, it is difficult for the Secretary-General to take an initiative without being criticized. Criticism is easy for the simple reason that 159 Member States hold different views on any given subject. The Secretary-General initiates action only if it offends no Member States and after taking into account all divergent views. Even on a subject such as the Trust Fund, he was constrained to find the safest way so as to avoid criticism. Thus, for the initial period, it is perfectly justified that he chose to restrict the scope of coverage to those cases where the Court's jurisdiction is beyond contest. The Secretary-General is certainly aware of this limitation; but since the Fund is his creation, he is also empowered to broaden the scope of coverage if he deems it desirable. H e may well decide to do so depending on the experience of the Fund and positive reaction from States. 72 To raise sufficient funds to meet the need is, however, a real problem. This is particularly difficult at a time when States are constantly approached for voluntary contributions to various worthy causes, notably, development, natural disaster, refugees, peace-keeping, the environment. 73 Although the Trust Fund is open to contributions from such entities as individuals, corporations, non-governmental organizations and international institutions, so far, States are the only contributors to the Fund. There is a real need to find ways to increase the assets of the Fund. I t seems that contributions to the Trust Fund may also be made in kind, in addition to monetary payment. Legal research, provision of experts (e. g., jurists, geologists, oceanographers, mineralogists) and technical assistance (for example, production of maps, demarcation of boundary) are very useful services. The Trust Fund is more fully described by the Secretary General himself in the Information Note following this Article. H i g h arbitration costs have also been a concern and, the expenditure can sometimes exceed the merits of the case.74 As already noted earlier, present ICJ 72

The Secretary-General's Trust Fund has received financial contributions from over 25 States (amounting to approximately $ 300,000 US) and political support from all parts of the world (see Proposed Programme Budget for the Biennium 1992-1993, Part I I I International Justice and Law Section 9 Legal Activities A/46/6 (Section 9) May 1991). The fund has already received its first application from Chad in connection w i t h its territorial dispute w i t h Libya over the Aouzou Strip. There is reason to believe that the Trust Fund will serve a useful purpose. 73 The United Nations, for example, has over 120 general Trust Funds and the technical, operational Trust Funds (for projects only) are over 1500. 74 See Section II.5 H i g h Costs and Lack of Expertise.

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chambers are less costly than ad hoc arbitration and would also avoid the problems associated w i t h the organization of an arbitration tribunal and the preparation of procedures for the Tribunal. 7 5 IV. Conclusion For various reasons, States are not enthusiastic about resorting to means for peaceful settlement of disputes. The difficulties they perceive range from political and methodological to practical and from theoretical to technical. Short of changing the basis from voluntary to compulsory adjudication, which at present is totally unrealistic, 76 the only practical way to promote wider use of means for dispute settlement is to offer all possible facilitation, technical as well als managerial, so as to assist States in dealing with those difficulties. This paper had identified various areas in which assistance is needed to facilitate States' settlement of disputes and has also proposed a range of activities which may be undertaken by entities interested in offering their assistance to States. The remaining question is who will offer such assistance. As already noted, the office of the Secretary-General of the respective regional and international organizations assumes an important rôle in managing crisis situations. Each office endeavours to facilitate the settlement of disputes occurring within the organization's competence and jurisdiction. The Secretary-General's office handles the most difficult cases, many of them protracted political disputes. N o other entity is better suited to deal with this group of disputes. As noted, the second category of disputes and situations is, however, not currently managed by any institution. Further studies are needed to illuminate the nature and scope of this category and to search for appropriate methods to deal w i t h the problems. I n order to promote the settlement of disputes and to prevent the second category of disputes and situations from escalating into crisis situa75

See Section II.6 (7) Judicial Settlement. I n June 1991, the Conference on Security and Co-operation in Europe (CSCE) adopted a set of CSCE procedures for Peaceful Settlement of Disputes. One most interesting feature of the procedures is the method for the establishment of a CSCE Dispute Settlement Mechanism which is to consist of one or more persons not nationals of the disputant States. After allowing the parties to select and reject nominations put forward by a "nominating institution", the latter is given the final decision regarding the composition of a Mechanism, which then becomes mandatory for the parties concerned. Moreover, in searching for a solution to the dispute, the Mechanism is not restricted to any fixed procedure or method; it,has a free hand in the choice of means for dealing w i t h the dispute. I t is expressly provided that no Mechanism will be established or continued if the dispute raises issues concerning a party's territorial integrity, national defense or title or claims to sovereignty over land or other areas. The text adopted in June was the product of an expert group held in January 1991 at Valetta, Malta. The Expert Group's text is reproduced in International Legal Materials vol. X X X , Number 2, (March 1991), 382-396. 76

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tions, mechanisms are needed to address this level. Non-governmental organizations have a rôle to play in this area. They are not political and are not subject to the same serious political constraints as the United Nations. Non-governmental organizations are particularly suited for facilitating internal conflicts between a government and an internal group. To gain access to and acceptance by parties to disputes in these very sensitive areas is difficult for any entity. Any gesture from another government or from the United Nations is likely to be seen as interference with domestic affairs, whereas a non-governmental organization may meet with more success. The conflicts are many and varied. They occur in various geographic regions involving different parties. Each conflict has to be dealt w i t h individually and different skills are needed. One facilitator may not be acceptable; another may not have the necessary competence. Consequently, there is room for a number of facilitators. To provide assistance in the implementation of settlement of dispute clauses is, in comparison, less difficult. Existing regional and international organizations are already engaged in the promulgation of treaties. To extend into the implementation of compromissary clauses in treaties would require only a step forward in their ordinary activities. Moreover, these technical and conference services (see Section I I I . (3)) do not differ significantly from the functions carried out by the secretariat of such organizations. Ideally, and as a long-term project, there should be an international agency specializing in providing assistance to States for the settlement of disputes. Such an agency would act as a facilitator, adopt a systematic approach from dispute prevention, dispute management to dispute solution, and carry out the suggested activities in Section I I I above. I t should have the necessary technical expertise, managerial skills and adequate funding. I t must de-politicize its work. Consequently, it should be a technical body and not an inter-governmental political institution. The I C R C provides such a model. Pending the achievement of this long-term goal, existing organizations, both inter-governmental and non-governmental, should be encouraged to increase their efforts to facilitate the process of the settlement of disputes.

Information Note: Secretary-General's Trust Fund ( N . B.: T h e E d i t o r s o f t h e German

Yearbook

of Internationl

Law received the

following N o t e from United Nations Secretary-General Pérez de Cuéllar.) In response to the need of developing countries, the Secretary-General of the United Natoins established in 1989 a Trust Fund. The purpose of the Fund is to

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provide financial assistance in order to encourage States to seek a solution to their legal disputes through the International Court of Justice. Legal disputes exist in various parts of the world. The high costs incurred in proceedings often constitute a financial obstacle to the seeking of a judicial settlement through the Court. This is particularly true in many developing countries where multiple needs compete for very limited funds. There are known cases where the parties are prepared to resort to judicial settlement but are in need of funds or legal expertise or both. There have also been cases where the parties were willing but unable to implement an ICJ Judgement. The availability of external resources in such cases can therefore be extremely helpful in their search for peaceful means through the Court for the settlement of disputes. The Trust Fund offers limited financial assistance for the purpose of defraying expenditures incurred in Court proceedings. I t thus encourages States to make better use of the International Court of Justice and also actively foster the peaceful settlement of disputes. The Fund has received worldwide support and some 30 States from all regions of the world have made financial contributions. I t received its first application in March this year and an award was subsequently made in May to a developing country which is seeking a solution to a dispute with its neighbour through the International Court of Justice. A second application, also from a developing country, is now pending. The present assets of the Fund are however very limited. Relations in many regions of the world will indeed be greatly improved if more legal disputes can be settled through the Intgernational Court of Justice, the legal arm of the United Nations. The Fund relies on voluntary contributions and is open to all entities. I t welcomes contributions from States, individuals, institutions, corporations and non-governmental organizations. Contributions may be made in monetary terms (to the Secretary-General's Trust Fund to assist States in the Judicial Settlement of Disputes, Chemical Bank, U N Branch Account N o . 015-004473). Further information may be obtained from the Office of Legal Affairs, Office of the Legal Counsel, United Nations Secretariat, New York, N . Y . 10017. 25 October 1991

Violation-Complaints and N o n - V i o l a t i o n Complaints i n Public International Trade Law"* By Ernst-Ulrich Petersmann

I. Introduction: State Responsibility, Remedies and Causes of Action in General International Law and in Public International Trade Law Under general international law, the violation by one State of an obligation established under international law in favor of another State or community of States engages the international responsibility of the defaulting State for its "internationally wrongful act" and gives rise to "secondary" obligations and rights to legal remedies designed to ensure the fulfilment of the breached "primary" obligations and corresponding rights and to wipe out the consequences of the wrongful act. While the international legal responsibility for illegal acts or omissions imputable to a State or international organization is well recognized in State practice and in international arbitral awards and judicial decisions, the notion of "international liability for injurious consequences arising out of acts not prohibited by international law" continues to be controversial in state practice and legal doctrine, as illustrated by the pertinent work of the International Law Commission (ILC). 1 One field of international law where "non-violation com* This Article makes use of a G A T T Secretariat note prepared by the author in 1989, at the request of the Uruguay Round Negotiating Group on Dispute Settlement, on " N o n Violation Complaints under G A T T Article X X I I I : 2" ( M T N . G N G / N G 1 3 / W / 3 1 ) . The views expressed are personal views and in no way commit the G A T T , for which the author served as legal counsellor from 1981 to 1990. 1 The I L C began its study of State responsibility in 1955 following a request by the U N General Assembly in its resolution 799 ( V I I I ) of 7 December 1953. During its study of the origin of international responsibility, the consequences attached by international law to an internationally wrongful act and the "implementation" of the international responsibility of States, the I L C decided to limit its draft articles on State responsibility to the responsibility of States for internationally wrongful acts. In the view of the Commission, being obliged to bear any injurious consequences of an activity which is in itself lawful, and being obliged to face the consequences of the breach of a legal obligation, are different situations which, in spite of common appearances, raise distinct legal issues. Pursuant to several recommendations by the U N General Assembly, the topic of international liability for injurious consequences arising out of certain acts not prohibited by international law has been studied by the I L C separately since 1978.

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plaints" and international liability for injurious consequences of lawful acts have been recognized long since is public international trade law. Under the multilateral dispute settlement procedures of the General Agreement on Tariffs and Trade ( G A T T ) , fourteen out of a total of more than 150 dispute settlement proceedings under Article X X I I I 2 since 1948 also raised "non-violation complaints" because of "nullification or impairment" of "any benefit accruing to it [i. e. the complaining country] directly or indirectly under this Agreement" as the result of "(b) the application by another contracting party of any measure, whether or not it conflicts w i t h the provisions of this Agreement, or (c) the existence of any other situation" ( G A T T Article X X I I I : 1, b, c). 3 Similar "non-violation complaints" can be brought also under the dispute settlement procedures of other international trade agreements such as the 1960 Agreement establishing the European Free Trade Area, the 1988 Canada-USA Free Trade Agreement and other bilateral trade agreements. Among the pertinent multilateral trade agreements, the G A T T provides for the most detailed rules and procedures determining the grounds under which "violation complaints" and "non-violation complaints" can be brought, the content, consequences and "implementation" of international responsibility and dispute settlements. 4 The comprehensive dispute settlement practice under these multilateral and bilateral trade agreements seems to have been neglected so far by the I L C in its work on State responsibility and on international liability for injurious consequences arising out of acts not prohibited by international law. While most of the international arbitral awards and judicial decisions relating to State responsibility date from before World War I I and concern cases of unlawful treatment of aliens, the legal and dispute settlement practice under the above-mentioned trade agreements is more recent and relates to responsibility in treaty relations among States, or among States and the EEC. Even though based on treaty law, it seems to have contributed to, and is influenced by, the progressive development also of customary rules on several aspects of State responsibility. The remedies in case of violations of multilateral trade agreements raise special issues which may not come up in cases of State responsibility for violations of customary law rules e. g. on the protection of aliens. Also from the point of view of G A T T law, it is useful to compare the 2

The text of G A T T Article X X I I I is reproduced in the Annex. For a recent survey of G A T T dispute settlement procedures see E. U. Petersmann , Settlement of International and National Trade Disputes Through the G A T T : The Case of Antidumping Law, in: Ernst U. Petersmann / Günther Jaenicke (eds.), Adjudication of International Trade Disputes in International and National Economic Law, Fribourg 1991, as well as the chronological list of G A T T Article X X I I I disputes in the Annex to the book. 4 A collection of the texts of the various G A T T dispute settlement rules and procedures is reproduced in: Ernst U. Petersmann / Meinhard Hilf (eds.), The New G A T T Round of Multilateral Trade Negotiations, Legal and Economic Aspects, Deventer/Boston 1988" 535-584. 3

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pragmatic evolution of G A T T dispute settlement rules and procedures over the past 40 years with the work of the I L C on State responsibility.

1. Grounds

and Kinds

of

Responsibility

The three different types of international legal obligations, which the I L C distinguished in Part 1 of its draft Articles on "Origin of international responsibilit y " provisionally adopted in 1980,5 are also typical of international trade agreements: "obligations of conduct " requiring the adoption of a particular conduct, such as the general most-favoured-nation obligation under G A T T Article I to accord "any advantage, favour, privilege or immunity granted by any contracting party to any product originating in or destined for any other country . . . immediately and unconditionally to the like products originating in or destined for the territories of all other contracting parties" (Article I: 1); "obligations of result " requiring the achievement of a particular result with means of the State's own choice, such as the national treatment requirement of G A T T Article I I I to accord to "the products of the territory of any contracting party imported into the territory of any other contracting party . . . treatment no less favourable than that accorded to like products of national origin in respect of all laws, regulations and requirements affecting their internal sale, offering for sale, purchase, transportation, distribution or use" (Article I I I : 4); and obligations to prevent a given event with means of the State's own choice, such as the G A T T prohibitions of import duties in excess of tariff bindings (Article II: 1), of discriminatory internal taxes (Article I I I : 2) and of "prohibitions or restrictions other than duties, taxes or other charges" (Article X I : 1). According to the I L C , material damage is neither a constitutive element of an internationally wrongful act nor a requirement of State responsibility. G A T T dispute settlement practice in "violation complaints" as well as in "non-violation complaints" likewise recognizes that the GATT-inconsistency of a trade measure and "nullification or impairment" in terms of G A T T Article X X I I I do not depend on material damage. As stated in the G A T T dispute settlement report concerning "US Taxes on Petroleum" adopted by the G A T T Council on 17 June 1987, "the impact of a measure inconsistent with the General Agreement is not relevant for a determination of nullification or impairment" because the function of G A T T rules is to establish conditions of competition and to protect trading opportunities, and violations of the G A T T prohibitions of trade barriers are considered to carry an irrefutable presumption of potentially adverse trade distortions. 6 I n 5

Yearbook of the International Law Commission 1980, Vol. I I , Part. 2, 30 ff. See the G A T T Panel Report in: G A T T Basic Instruments and Selected Documents 34th Supplement, 136,156,158 (in the following quoted as BISD 34S/135,156,158). See also the G A T T Panel Report, adopted on 25 January 1990, on EEC Subsidies Paid to Processors 6

12 GYIL 34

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G A T T law as in other fields of international trade law, the violation of a substantive obligation and "nullification or impairment" therefore tend to be synonymous. 7 But material damage may be important for determining the content and scope of the "secondary" obligations in case of violations of the "primary" G A T T rules. Thus, the scope of "nullification or impairment of benefits" may be relevant for a compensatory or punitive suspension of G A T T obligations pursuant to G A T T Article X X I I I : 2, if dispute settlement findings are not complied with, as well as for the right " t o w i t h d r a w . . . substantially equivalent concessions" (Article X X V I I I : 3) if the value of tariff bindings is being nullified or impaired by unforeseen subsequent trade measures and the impairing country refuses to grant compensation. Following the example of modern international law as recognized in Part 1 of the ILC's draft Articles on State responsibility, G A T T law proceeds from the principle of "strict liability" and "objective responsibility for result" independent of a subjective element of fault. Hence any breach of a G A T T obligation constitutes a wrongful act entailing the responsibility of the State concerned without there being a need to establish fault. Only exceptionally — for instance in the "federal state clause" of G A T T Article X X I V : 12 according to which "each contracting party shall take such reasonable measures as may be available to it to ensure observance of the provisions of this Agreement by the regional and local governments and authorities within its territory" — are the G A T T obligations, duties of prevention and "strict liability" qualified by terms such as "reasonable" or "appropriate" which call for a value judgment for which the "due diligence standard" of general international law may be of importance. 8 of Oilseeds, where the Panel concluded "that the exposure of a particular imported product to a risk of discrimination constitutes, by itself, a form of discrimination", and "that purchase regulations creating such a risk must be considered to be according less favourable treatment within the meaning of Article I I I : 4" (BISD 37S/86, 125). As regards "nonviolation complaints" the latter Panel Report emphasizes "that the C O N T R A C T I N G PARTIES have consistently interpreted the basic provisions of the General Agreement on restrictive trade measures as provisions establishing conditions of competition" and that "nullification or impairment of benefits" depends therefore on adverse changes in competitive conditions and not on an actual decline in volumes of trade (see 130 ff.). 7

In case of a finding of a violation of a G A T T obligation, the usual legal remedy is a G A T T Council ruling requesting the offending country " t o bring its measures into conformity w i t h its obligations under the G A T T . " Only in cases of an inconsistency w i t h G A T T law of antidumping duties and countervailing duties, the imposition of which is subject to various procedural and legal safeguards and to "individualized" proceedings against the exporters of dumped or subsidized goods, have G A T T dispute settlement bodies also requested the offending country to revoke and reimburse the illegally levied duties concerned (see, e. g., BISD 32S/55-70). 8 The Panel Report, adopted on 22 March 1988, on "Canada-Import, Distribution and Sale of Alcoholic Drinks by Canadian Provincial Marketing Agencies" (see: BISD 35S/37-98) rightly rejected Canada's contention "that the only authority that could judge whether all reasonable measures had been taken under Article X X I V : 12 was in this case the Canadian

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G A T T practice confirms that all legislative, administrative and also judicial acts of federal, regional and local government bodies of a State and also of the EEC may be capable of creating legal responsibility. I t is also an established G A T T principle, consistent with general international law, that legislative authorizations of executive measures inconsistent with G A T T rules do not engage the international responsibility of the State concerned as long as the Executive is not required to introduce GATT-inconsistent measures and exercises its discretionary powers in conformity with its G A T T obligations. 9 A number of G A T T dispute settlement proceedings concerned State responsibility for restrictive measures of Statetrading enterprises. 10 Particular problems of qualifying certain measures on the basis of the defendant State's domestic law came up in the G A T T dispute over "voluntary" private restrictions on export of Japanese semi-conductors, where the Japanese government argued that "administrative guidance" to avoid sales at dumping prices was not legally binding and therefore did not fall under G A T T Article X I : 1. The Panel noted that, in another G A T T dispute settlement proceeding, Japan had stated in respect of the practice of "administrative guidance" that "such centralised and mutually collaborative structure of policy implementation was the crux of government enforcement in Japan"; this earlier G A T T Panel had therefore found that "administrative guidance" was "a traditional tool of Japanese government policy based on consensus and peer pressure" which could be regarded as a governmental measure enforcing supply restrictions in terms of G A T T Article X I : 2,c. Also the later G A T T Panel found, therefore, that notwithstanding Japan's contention that there were no legally binding government measures limiting the right of Japanese producers and exporters to export semi-conductors at any price they wished, the "voluntary" export restraints amounted to a government measure because the effectiveness of the export restraints was essentially dependent on government actions "which operated to exert maximum possible pressure on the private sector to cease exporting at price below company-specific costs." 11 Government" (at 91). According to this Panel Report, "Canada would have to demonstrate to the C O N T R A C T I N G PARTIES that it had taken all reasonable measures available and . . . it would then be for the C O N T R A C T I N G PARTIES to decide whether Canada had met its obligations under Article X X I V : 12" (at 92). O n the interpretation by the G A T T C O N T R A C T I N G PARTIES of the term "reasonable measures" and on the obligation to grant compensation for the non-observance of G A T T rules by regional or local bodies see: Ernst U. Petersmann , G A T T Analytical Index. Notes on the drafting, interpretation and application of the Articles of the General Agreement on Tariffs and Trade, G A T T Geneva 1989, Article X X I V , 41-45. 9

See, e. g., the Panel Report, adopted on 16 May 1990, on " E E C Regulation on Imports of Parts and Components" in: BISD 37S/123 ff., 199. 10 See, e.g., the Panel Report, adopted on 22 March 1988, on "Canada — Import, Distribution Sale of Alcoholic Drinks by Canadian Provincial Marketing Agencies" in: BISD 35S/37-98. 11 See the Panel Report, adopted on 4 May 1988, on "Japan — Trade in Semi-Conductors", in: BISD 35S/116 ff., at 157 and 162: "The requests not to export semi-conductors at

12*

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2. Right to Sue and Determination

of the Parties

Involved

The right to sue and the determination of the contracting parties liable for the violation of G A T T rules has hardly ever presented a problem in G A T T dispute settlement proceedings. When, in 1962, Uruguay invoked the dispute settlement provisions of G A T T Article X X I I I in respect of fifteen countries w i t h o u t specifying whether and in what way the numerous types of restrictive measures complained of were inconsistent w i t h G A T T law and had adversely affected Uruguays exports, the G A T T Panel requested Uruguay to supply information on these matters and on what benefits accruing to Uruguay under G A T T law had been nullified or impaired. The Panel established the important rule that " i n cases where . . . measures are applied in conflict w i t h the provisions of G A T T . . . , the action would, prima facie , constitute a case of nullification or impairment W h i l e i t is n o t precluded that a prima facie case of nullification or impairment could arise even if there is no infringement of G A T T provisions, it would be in such cases incumbent on the country invoking Article X X I I I to demonstrate the grounds and reasons for its invocation." 1 2 Unlike European C o m m u n i t y law where a Member State may bring an action for a declaration by the E C Court of Justice that another Member State is in breach of its obligations under C o m m u n i t y law without having to show a direct legal interest, G A T T Article X X I I I grants the right to bring claims only to contracting parties asserting a "nullification or impairment" of benefits accruing t o them under the G A T T . The "Agreed Description of the Customary Practice of the G A T T in the Field of Dispute Settlement" confirms that " i n practice, contracting parties have had recourse to Article X X I I I only when in their view a benefit accruing t o them under the General Agreement was being nullified or impaired." 1 3 But it has also become recognized in G A T T law that "where there is prices below company-specific costs to contracting parties other than the United States which the Japanese Government addressed to Japanese producers and exporters of semiconductors, combined with the statutory requirement for exporters to submit information on export prices and the systematic monitoring of company and product-specific costs and export prices by the Government, backed up with the use of supply and demand forecasts to impress on manufacturers the need to align their production to appropriate levels, constituted a coherent system restricting the sale for export of monitored semi-conductors at prices below company-specific costs to markets other than the United States, inconsistent with Article X I : 1." 12

Uruguayan Recourse to Article X X I I I , Panel Report, adopted on 16 November 1962, in: BISD 11S/95 ff., 100. This presumption of nullification or impairment was subsequently incorporated into the "Agreed Description of the Customary Practice of the G A T T in the Field of Dispute Settlement (Article X X I I I : 2)" adopted by the G A T T Contracting Parties on 28 November 1979, see: BISD 26S/210, 216. 13 Agreed Description of the Customary Practice of the G A T T in the Field of Dispute Settlement (Article X X I I I : 2), adopted by the Contracting Parties on 28 November 1979, paragraph 5, in: BISD 26S/210 ff., 216.

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an infringement of the obligations assumed under the General Agreement, the action is considered prima facie to constitute a case of nullification or impairment." 1 4 Infringements of the G A T T prohibitions of trade discrimination and of trade barriers always entail the risk of trade distortions adversely affecting the rights and collective interests of other G A T T contracting parties. In addition to "violation complaints" pursuant to Article X X I I I : 1, a, Article X X I I I also provides for special kinds of "non-violation complaints" (Article X X I I I : l , b ) and "situation complaints" (Article X X I I I : l,c). Hence, not only contracting parties whose subjective primary rights have been violated are entitled to invoke Article X X I I I and request performance of the primary and secondary G A T T obligations. But, as in the case of other multilateral treaties establishing an objective legal order with parallel duties rather than relative rights and corresponding duties (cf Article 60: 2, a of the 1969 Vienna Convention on the Law of Treaties), Article X X I I I enables each contracting party to bring complaints even without showing the violation of a subjective right or material damage. The G A T T dispute settlement rules on intervention of third parties also stipulate that "the interests . . . of other contracting parties shall be fully taken into account during the panel process," and "any third contracting party having a substantial interest in a matter before a panel, and having notified this to the Council, shall have an opportunity to be heard by the panel and to make written submissions to the panel." 15 The determination of the disputant parties and the attribution of responsibility have raised particular problems in respect of the EEC. While each EEC Member State is a G A T T contracting party in its own right, the EEC itself has never signed or ratified the G A T T . Yet, since the 'Dillon Round' of 1960/61, the EEC consistently exercised in its own name most G A T T rights (except voting rights) and G A T T obligations (except the budgetary contributions) of its Member States and negotiated and accepted in its own name some 100 additional agreements within G A T T (e. g. protocols of accession of other countries to G A T T , tariff protocols and the 1979 Tokyo Round Agreements). As the EEC Treaty requests the EEC to participate in G A T T (cf Articles 18, 110, 229) and to respect G A T T law (cf Article 234), and all G A T T Contracting Parties recognize the exclusive Community competence in the field of commercial policy and the substitution of the EEC for its Member States in G A T T practice, the EC Court of Justice has rightly held that the EEC is legally bound by G A T T law. 16 In G A T T practice, the pragmatic "double G A T T membership sui generis " of both the EEC and its Member States has occasionally raised doubts as to who is entitled to exercise 14

Agreed Description (note 13), BISD 26S/216. See: Improvements to the G A T T Dispute Settlement Rules and Procedures, Decision of 12 A p r i l 1989, in: BISD 36S/61 ff., 65. 16 O n the status of G A T T law as an "integral part of the Community legal system" see: Ernst-U. Petersmann , in: Groeben / Boeckh / Tbiesing / Ehlermann: (eds.), Kommentar zum EWG-Vertrag, 4th edition Baden-Baden 1991, commentary on Article 234. 15

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G A T T rights and is legally liable for infringements of G A T T obligations. For instance: When, in the G A T T Council meeting of 16 June 1988, the E E C agreed to the request of the U n i t e d States t o establish a G A T T Panel t o examine a complaint concerning E E C subsidies on oilseeds, the representative of France asked for the floor. The G A T T Council minutes of this meeting note that " T h e Chairman ... understood that the representative of the European Communities was in favour of France taking the floor, and accordingly invited France to speak." 1 7 I n the following debate, the Council Chairman granted France the right t o speak only after formally noting each time "that the spokesman of the European Communities had no objection t o this." The French representative stated, inter alia , that: "France could not agree at the present meeting to the establishment of a panel as requested by the United States. His delegation therefore asked that note be taken that there was no consensus among the C O N T R A C T I N G PARTIES at this stage with regard to the US request."

T h e E C representative replied by saying, inter alia ,: " I t was quite clear that France was a contracting party, but it was equally clear that France no longer had competence on matters of trade policy. That was the exclusive competence of the Community, which he represented in the [ G A T T ] Council as the representative of the Commission of the European Communities. . . . To take the French view into consideration would put into question all the current Community's obligations and rights. For these reasons, even when France spoke as a contracting party, its views as to trade policies were null and void and could not be taken into account." 1 8

T h e G A T T Director-General said, inter alia , that "according to practice established a number of years earlier, and not just in the Council, the representative of the Community had the authority to commit the Community to a [ G A T T ] Council decision." 19

T h e G A T T Council established the panel and thereby confirmed the legal view expressed by the E E C that, also under G A T T law, it is up t o the E C representative to commit the C o m m u n i t y in a G A T T dispute w i t h the US, and that the substitution of the E E C for its Member States limits the exercise of G A T T rights by individual E C Member States in G A T T . Since 1974, G A T T complaints over trade measures of individual E C Member States have regularly been addressed t o the E E C rather than to the individual E C Member States concerned. When, for instance in the case of French restrictions on the importation of Japanese video tape recorders in 1982, the dispute settlement proceeding was initiated first against the individual E C Member State, the need t o 17 18 19

G A T T document C/M/222, 10. C/M/222, 12-14. C/M/222, 16.

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respect the exclusive Community competence in the trade policy area was quickly made clear and the dispute settlement proceedings were continued against the EEC.20 3. Substantive

Consequences of

Responsibility

Under general international law on State responsibility, the violation of the rights of another State creates for the "author" State two different kinds of obligations towards the "injured" State: — an obligation to stop the violation, if it still continues, by discontinuing the wrongful conduct and establishing the situation required by international law; and — obligations to provide reparation of damages caused by the violation (restitution in kind or pecuniary compensation in case of material damage, satisfaction for immaterial damage) and, under certain conditions, to provide safeguards against repetition of the wrongful act. As regards cessation of a wrongful act of a continuing character, the "Agreed Description of the Customary Practice of the G A T T in the Field of Dispute Settlement (Article X X I I I : 2)" explicitly confirms: " I n the absence of a mutually agreed solution, the first objective of the C O N T R A C T I N G P A R T I E S is usually to secure the withdrawal of the measures concerned if these are found to be inconsistent w i t h the General Agreement." 2 1 If a trade measure has been found to be inconsistent w i t h G A T T , G A T T dispute settlement decisions usually request the offending country " t o bring its measures into conformity w i t h its obligations under the General Agreement." The "Improvements to the G A T T Dispute Settlement Rules and Procedures", adopted on 12 A p r i l 1989 state that: "Contracting parties recognize that the dispute settlement system of G A T T serves to preserve the rights and obligations of contracting parties under the General Agreement and to clarify the existing provisions of the General Agreement. I t is a central element in providing security and predictability to the multilateral trading system. Contracting parties agree that all solutions to matters formally raised under the G A T T dispute settlement system under Articles X X I I , X X I I I and arbitration awards shall be consistent w i t h the General Agreement and shall not nullify or impair benefits accruing to any contracting party under the General Agreement, nor impede the attainment of any objective of the General Agreement." 2 2

The frequent practice of "intervention" by third G A T T contracting parties in G A T T dispute settlement proceedings bears witness to the fact that cessation of 20

For details see: Ernst-U. Petersmann , International and European Foreign Trade Law. G A T T Dispute Settlement Proceedings against the EEC, in: Common Market Law Review 1985, 441-487. 21 22

BISD 26S/216. See: BISD 36S/61.

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the wrongful act and observance of G A T T rules tend to be viewed not only as a matter of bilateral dispute settlement but as a matter affecting all contracting parties' interests in preserving rule of law and undistorted trade competition. The same concern is reflected in the dispute settlement texts in the 1990 "Draft Final Act Embodying the Results of the Uruguay Round of Multilateral Trade Negotiations," for instance when it is stipulated that "mutually agreed solutions to matters formally raised under G A T T Articles X X I I and X X I I I must be notified to the Council where any contracting party may raise any point relating thereto." 2 3 According to prevailing G A T T practice, when a bilateral settlement to a dispute had been found during a dispute settlement proceeding, G A T T panels have usually confined their reports to a brief description of the dispute and an indication that the disputant parties had informed the Panel of a bilaterally agreed solution of the dispute. 24 Only in a few exceptional cases have panels presented a complete report even though the trade measure concerned had already been terminated in the course of the panel proceeding. 25 I n the Panel Report, adopted on 22 February 1982, on "US Prohibitions of imports of tuna and tuna products from Canada" the Panel justified its decision to establish a complete panel report inter alia by noting "that the representative of Canada did not accept that the results obtained bilaterally constituted a satisfactory solution or settlement in terms of paragraph 17 of the Understanding Regarding Notification, Consultation, Dispute Settlement and Surveillance, a n d . . . that the damage caused by the action which gave rise to the dispute had not been satisfactorily repaired, and that the threat of the United States taking action under Section 205 of the Fishery Conservation and Management Act of 1976 continued to exist. H e therefore requested the Panel to present a substantial report on the case." 26 A strong risk of repetition of an unlawful act may therefore provide a sufficient reason for requesting and making a "declaratory ruling" under G A T T Article X X I I I : 2 on the GATT-inconsistency of measures which were already terminated. If the violation of a primary obligation has caused material injury, the rules of customary international law entitle the injured State to claim from the State which has committed an internationally wrongful act restitution in kind or, to the extent that such restitution is materially or legally impossible or excessively onerous for the defaulting State, reparation by equivalent (/. e. pecuniary compensation) to substitute totally or in part for restitution in kind. 2 7 Additional limitations on the right to claim restitution in kind, financial compensation and "damages for loss 23

See: M T N . T N C / W / 3 5 , at 290. For examples see: BISD 25S/107; 26S/320; 28S/90, 100, 113. 25 For examples see: BISD 25S/49, 51; 29S/91, 106. 26 BISD 29S/106. 27 O n the content and problems of restitution in kind, and the exceptions to this primary form of redress, see: Yearbook of the I L C 1988, Vol. I I , Part Two, 1990, 106 ff. 24

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sustained which would not be covered by restitution in kind or payment in place of i t " 2 8 are to be found in international treaty law including G A T T . For, apart from the right to request specific performance of the "primary" G A T T obligations and cessation ex nunc of unlawful trade measures, the G A T T dispute settlement rules do not provide for a right to claim restitution in kind or reparation by equivalent and explicitly limit rights to compensation. Only in case of antidumping and countervailing duties, which had been found to have been levied in violation of G A T T rules, have Panels recommended to revoke the antidumping or countervailing duty order and to reimburse the duties paid. 2 9 I n case of other unlawful duties (such as customs duties inconsistent with Article I I , internal taxes inconsistent with Article I I I : 2) or other trade measures (such as subsidies inconsistent with Article X V I ) , the Panel recommendations and Council decisions were limited to cessation of the unlawful measures ex nunc without requesting e. g. reimbursement of unlawful customs duties or repayment of unlawful subsidies. The panel reports have not given any specific legal reasons for this different treatment of unlawful antidumping and countervailing duties. But their recommendations " t o revoke the anti-dumping determination and to reimburse the anti-dumping duty paid" 3 0 seem to be related to the fact that, unlike most G A T T complaints that are directed against trade laws or general trade regulations, complaints in these cases were directed against specific antidumping or countervailing duty orders which had been imposed as the result of "individualized" legal proceedings against specified exporters subject to "due process of law" guarantees which explicitly recognize (e. g. in Article 8 of the 1979 G A T T Antidumping Code) the legal remedy of reimbursement of unjustified antidumping or countervailing duties. Yet, the legal conditions under which this remedy should be available continue to be controversial in G A T T practice. One interesting feature of this remedy is that the unlawful duties are to be reimbursed to the importers in the importing country rather than to the exporting country whose treaty benefits were found to have been "nullified or impaired. " 3 0 a The 1979 "Agreed Description of the Customary Practice of the G A T T in the Field of Dispute Settlement" notes that "the provision of compensation should be 28 Permanent Court of International Justice, Chorzow Factory Case, PCIJ Series A N o . 17 (1928), at 47. 29 See the Panel Report, adopted on 18 July 1985, on " N e w Zealand — Imports of Electrical Transformers from Finland" in: BISD 32S/55, 70, as well as the Panel report, adopted on 11 July 1991, on "US Countervailing Duties on Fresh, Chilled and Frozen Pork from Canada" ( G A T T doc. DS7/R). 30

See the above-mentioned Panel Report, in: BISD 32S/70. This "internal" rather than "international" function of the remedy illustrates the often "domestic nature" of many G A T T disputes which result from conflicts of interests within countries (e.g. among import-competing producers interested in import protection and traders and consumers interested in free trade) rather than among countries, see: ErnstU. Petersmann , Beilegung internationaler Handelsstreitigkeiten durch das G A T T , in: Europa-Archiv 1991, 265, 267 ff. 30 a

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resorted to only if the immediate withdrawal of the measure is impracticable and as a temporary measure pending the withdrawal of the measures which are inconsistent w i t h the General Agreement." 31 The 1982 G A T T Ministerial Declaration, in its part on "Dispute Settlement Procedures" clarified that if recommendations or rulings made by the C O N T R A C T I N G PARTIES under Article X X I I I : 2 are not implemented within a reasonable period of time, any further action taken by the C O N T R A C T I N G PARTIES under Article X X I I I : 2 "might include a recommendation for compensatory adjustment with respect to other products or authorization for the suspension of such concessions or other obligations as foreseen in Article X X I I I : 2, as the C O N T R A C T I N G PARTIES may determine to be appropriate in the circumstances." 32 Article X X I I I therefore does not authorize the C O N T R A C T I N G PARTIES to make legally binding rulings on compensation unless the disputant parties have explicitly requested the G A T T Council to make such a decision. A note by the G A T T Secretariat of 1965 discussed this issue in relation to residual quantitative restrictions affecting developing countries: " . . . Where a proposal for compensation has been made, it would appear that it is open to the Contracting Parties to make an assessment of the loss sustained . . . and to make a recommendation that pending elimination of these restrictions the country applying such restrictions should consider the establishment of other appropriate concessions which would serve to compensate this loss. There are, however, two points which need to be noted in this connection. Firstly, any such recommendation under the provisions of the present Article X X I I I can be implemented only to the extent that it proves acceptable to the contracting party to whom it is addressed. If such contracting party is not in a position to accept the recommendation, the final sanction must remain the authority for withdrawing equivalent obligations as provided in paragraph 2 of Article X X I I I . Secondly, the nature of the compensatory concessions and the items on which these are offered would have to be determined by the contracting party to whom the recommendation is directed and would have to be a matter of agreement between the parties concerned. I t would not be possible for a panel or other body set up by the Contracting Parties to adjudicate on the specific compensations that should be offered." 3 3

I n G A T T dispute settlement practice, the issues of compensation and retaliation have been raised in the G A T T Council and in G A T T panels only at the request of the complaining country. The issue of compensation, including a request that compensation cover "retroactive prejudice," was considered in the Report by the Panel on the "European Economic Community — Restrictions on Imports of Dessert Apples — Complaint by Chile" adopted in June 1989. The Panel observed that there was no provision in the General Agreement obliging contracting parties to provide compensation, and recalled and endorsed the views 31 32 33

BISD 26S/216. BISD 29S/16. G A T T document C O M . T D / 5 , 1965.

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contained in the 1965 Secretariat note cited above. The Panel "recognized that it would be possible for the EEC and Chile to negotiate compensation consistent with the provisions of the General Agreement; however the Panel did not consider that it would be appropriate for it to make a recommendation on this matter." 3 4 The reluctance of G A T T Panels to even examine the trade impact of violations of G A T T rules is mainly due to legal reasons. Thus, Panels have stressed — "that an evaluation of the trade effects was not directly relevant to (the) findings because a breach of a G A T T rule is presumed to have an adverse impact on other contracting parties"; 35 and — "that the existence of a quantitative restriction should be presumed to cause nullification or impairment not only because of any effect it had had on the volume of trade but also for other reasons e. g., it would lead to increased transaction costs and would create uncertainties which could affect investment plans." 3 6 But there are also many practical difficulties in assessing the trade effects of illegal and of alternative lawful measures, for the offending country might choose among various options to bring its measures into conformity with its G A T T obligations. The Panel Report, adopted on 17 June 1987, on "US Taxes on Petroleum and Certain Imported Substances" illustrated the practical and legal implications of this point in the following manner: "The United States could bring the tax on petroleum in conformity w i t h Article I I I : 2, first sentence, by raising the tax on domestic products, by lowering the tax on imported products or by fixing a new common tax rate for both imported and domestic products. Each of these solutions would have different trade results, and it is therefore logically not possible to determiné the difference in trade impact between the present tax and one consistent w i t h Article I I I : 2, first sentence, and hence to determine the trade impact resulting from the non-observance of that provision. For these reasons, Article I I I : 2, first sentence, cannot be interpreted to protect expectations on export volumes; it protects expectations on the competitive relationship between imported and domestic products. A change in the competitive relationship contrary to that provision must consequently be regarded ipso facto as a nullification or impairment of benefits accruing under the General Agreement. A demonstration that a measure inconsistent w i t h Article I I I : 2, first sentence, has no or insignificant effects would therefore in the view of the Panel not be a sufficient demonstration that the benefits accruing under that provision had not been nullified or impaired even if such a rebuttal were in principle permitted." 3 7

34

BISD 36S/93, 135. Panel Report, adopted on 7 February 1984, on "Canada — Administration of the Foreign Investment Review A c t " in: BISD 30S/140, 167. 35

36 Panel Report, adopted on 15/16 May 1984, on "Japanese Measures on Imports of Leather" in: BISD 31S/94, 113. 37 BISD 34S/136, 158 f.

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These practical difficulties of assessing "trade damage" illustrate why proposals to recognize legal obligations under G A T T to grant compensation have so far always met with resistance. For instance, in connection with the drafting of the Decision of 5 A p r i l 1966 on "Procedures under Article X X I I I " Brazil and Uruguay made a proposal to the effect that " . . . where it has been established that measures complained of have adversely affected the trade and economic prospects of less-developed countries and it has not been possible to eliminate the measure or obtain adequate commercial remedy, compensation in the form of an indemnity of a financial character would be in order . . . " 3 8

But the proposal was not retained in the 1966 Decision. The G A T T rights and obligations of specific performance and of cessation of wrongful conduct, which aim at the discharge of the original obligation, backed up by the G A T T dispute settlement procedures and by the threat of reciprocal withdrawals of G A T T obligations (e. g. under Articles X X I I I : 2 and X X V I I I : 3), are the main driving forces of the G A T T legal systems. Additional "secondary" obligations to reestablish the situation that would have existed if the wrongful act had not been committed, as they are recognized under general international law, 39 have so far been recognized as a remedy of G A T T law only in a few limited cases (such as reimbursement of unlawful antidumping and countervailing duties) which continue to be controversial and have never been properly circumscribed in G A T T practice. Just as domestic antidumping and countervailing duty laws limit the rights of importers to refunds of unlawful duties paid, international G A T T rights to reimbursement of such duties require procedural and substantive limitations. Restitution in kind and reparation by equivalent may not fit the G A T T legal system whenever violations of G A T T rules do not lead to a "taking" of specific objects or property rights which could later be restituted, and when the "trade damage" and foregone opportunities (lucrum cessans) during the existence of GATT-inconsistent measures cannot be determined in a precise manner. Beyond the rights which G A T T explicitly confers, the only other "benefits accruing under the General Agreement" (Article X X I I I : 1) which have been 38

BISD 14S/139. International legal doctrine is divided on whether restitution in kind only requires to re-establish the situation which had existed prior to the occurrence of the wrongful act (i. e. the status ex ante), or whether — in addition to the "restitutive function" — it also serves a "compensatory function" requiring to re-establish the situation which would have existed if the wrongful act had not been committed. Notwithstanding this division of opinion and the different connotations of the term "restitution in kind" which is also used in a broader sense as a synonym for reparation, most authors agree on the legal obligation to make good the injurious consequences of a breach of international law either in natura (e. g. by returning persons and objects held as a result of the unlawful act) or by paying a sum of money corresponding to the value which a re-establishment of the situation ex ante would require, as well as by "damages or loss sustained which would not be covered by restitution in kind or payment in place of i t " (PCIJ Series A , N o . 17, 1928, 47). 39

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recognized so far in G A T T dispute settlement practice are the competitive benefits deriving from tariff bindings, to the extent they could be "reasonably expected" at the time of the negotiations on reciprocal tariff commitments and form part of the agreed balance of reciprocal tariff concessions.40 I n both "nonviolation complaints" under Article X X I I I and negotiations on compensation for the withdrawal of tariff concessions under Article X X V I I I , the trade impact of a subsequent unforeseen change in competitive conditions, which is found to nullify or impair benefits accruing under a tariff concession, is likely to be the decisive element. I n one case in which contracting parties could not agree on the amount of compensation to be granted after the formal withdrawal of a tariff concession, they asked the Council to establish an ad hoc panel to render an advisory opinion to them on the value to be ascribed to the unbound tariff. The Council established such a Panel and the parties complied with its conclusions. 41 The parties to the dispute agreed beforehand to accept the Panel findings as binding, and the Panel Report was not submitted to the Council for adoption by the C O N T R A C T I N G PARTIES.

4. Procedural Consequences of Responsibility and Causes of Action The substantive legal consequences of a wrongful act and the different forms of reparation — such as cessation, restitution in kind, reparation by equivalent, satisfaction and guarantees against repetition of the unlawful act — are to be distinguished from the rights of the injured State(s) to resort to dispute settlement procedures and to countermeasures against a wrongdoing State to ensure cessation, reparation or retaliation. The progressive development of the G A T T dispute settlement rules and procedures set out in Articles X X I I and X X I I I , as amended in 1955, through supplementary dispute settlement rules and procedures successively agreed upon in 1958, 1966, 1979, 1982, 1984 and 1989, indicates that the G A T T Contracting Parties have considered improvements to the "secondary" G A T T rules on legal remedies to be no less important than the periodic " G A T T Rounds" of negotiations on the "primary" G A T T rules on the conduct of trade policies. Agreement on improvements to G A T T dispute settlement rules was often enhanced by the progressive refinement of these rules in the G A T T dispute settlement practice as well as by the strong interests of less-developed countries in rule of law and strong dispute settlement rules as a safeguard against "poweroriented" policies. If a State is liable under international law and either denies or refuses to meet its obligations arising from State responsibility, it must try to resolve the dispute 40

For detailed references to the pertinent G A T T practice see: Ernst-U. Petersmann , G A T T Analytical Index (above note 8), Article X X I I I , 15 ff. 41 " U S / E E C Negotiation on Poultry" in: BISD 12S/15.

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peacefully through diplomatic or legal means as set out in Article 33 of the U N Charter. G A T T Articles X X I I and X X I I I : 1 specify the rights and obligations of G A T T contracting parties to settle disputes through bilateral and multilateral consultations. Article X X I I I : 2 explicitly states that the dispute may be referred to the G A T T Contracting Parties (i. e. in practice the G A T T Council) only "if no satisfactory adjustment is effected between the contracting parties concerned within a reasonable time, or if the difficulty is of the type described in paragraph 1 (c) or this Article." The C O N T R A C T I N G PARTIES shall then "promptly investigate any matter so referred to them and shall make appropriate recommendations to the contracting parties which they consider to be concerned, or give a ruling on the matter, as appropriate . . . If the C O N T R A C T I N G PARTIES consider that the cicrumstances are serious enough to justify such action, they may authorize a contracting party or parties to suspend the application to any other contracting party or parties of such concessions or other obligations under this Agreement as they determine to be appropriate in the circumstances" (Article X X I I I : 2).

Similar procedures for the settlement of disputes and for collective decisions on the interpretation, application, violation and enforcement of G A T T Agreements are to be found in the Tokyo Round Agreements concluded in 1979, which offer the contracting parties concerned certain choices as to whether they submit a dispute to the G A T T Council under the pertinent G A T T rules or to the Code Committee under the respective Code dispute settlement procedures. 42 Three important common features of these various G A T T dispute settlement procedures are that — they grant each contracting party the right to subject disputes over the "nullification or impairment" of G A T T benefits to legally binding third-party determinations; 43 — they limit the rights under general international law to resort to unilateral reprisals, and subject countermeasures (other than retorsions) in response to "nullification or impairment" of benefits to institutionalized, collective control; and 42

O n the coexistence of these various dispute settlement procedures and the resultant problems see the article by Petersmann , mentioned above in note 3. 43 The "right to a G A T T Panel" has been recognized in G A T T practice long since, even though the texts of G A T T dispute settlement procedures acknowledge this right only in an indirect manner (see part F. a. in the "Improvements to the G A T T Dispute Settlement Rules and Procedures," adopted on 12 A p r i l 1989, in: BISD 36S/61, 63). The "ruleoriented" function of "the dispute settlement system of G A T T (which) serves to preserve the rights and obligations of contracting parties under the General Agreement and to clarify the existing provisions of the General Agreement," and the rule-oriented function of G A T T Panels to examine the complaint submitted to them " i n the light of the relevant G A T T provisions," are also emphasized in the above-mentioned procedures (parts A . 1. and F. b., BISD 36S/61,64). As the Panel findings are only "declaratory" of existing G A T T rights and obligations, their adoption by the G A T T Council on behalf of all G A T T Contracting Parties amounts to an authoritative "declaratory ruling" on existing G A T T rights and obligations.

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— they provide a multilateral framework not only for the collective enforcement of the "primary" and "secondary" G A T T obligations (e. g. by authorizing "reprisals" to put pressure on the offending state to withdraw GATT-inconsistent measures), but also for the maintenance or re-adjustment of the "balance of synallagmatic concessions" agreed upon in reciprocal tariff commitments and trade agreements (e. g. by authorizing the compensatory withdrawal of tariff bindings at a value corresponding to the "nullification or impairment" in case of "non-violation complaints"). The text of the dispute settlement provisions in Article X X I I I differs from the dispute settlement provisions of most other international agreements in several respects. Traditionally, the dispute settlement provisions of international treaties focus on legal concepts such as the rights and obligations of the contracting parties, infringement of treaty obligations, or "legal disputes concerning: (a) the interpretation of a treaty; (b) any question of international law; (c) the existence of any fact which, if established, would constitute a breach of an international obligation; (d) the nature or extent of the reparation to be made for the breach of an international obligation." 4 4 By contrast, Article X X I I I makes use of certain concepts that are rather unique in the law. I t proceeds from the concept of "nullification or impairment of any benefit . . . accruing under this Agreement." Even breaches of obligations are described in G A T T practice as "prima facie nullification or impairment of benefits." Article X X I I I permits any contracting party to request consultations with other contracting parties and recommendations, rulings, and an authorization by the C O N T R A C T I N G PARTIES to suspend the application of concession or other obligations, if the complaining party considers that: "(1) any benefit accruing to it directly or indirectly under this Agreement is being nullified or impaired or (2) the attainment of any objective of the Agreement is being impeded

as the result of (a) the failure of another contracting party to carry out its obligations under this Agreement, or (b) the application by another contracting party of any measure, whether or not it conflicts w i t h the provisions of this Agreement, or (c) the existence of any other situation."

Many of these unusual legal concepts (e. g. "nullification or impairment" of "any benefit," "any objective . . . being impeded," "any situation") have neither been defined in the General Agreement itself nor in subsequent G A T T practice. This legal uncertainty has sometimes been criticized as reducing the legal predictability of G A T T dispute settlement proceedings. I t appears to make the procedural rules on the exercise of this broad grant of jurisdiction all the more important. 44

Article 36 of the Statute of the International Court of Justice.

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Article X X I I I also differs from most other international dispute settlement provisions in that it grants a very broad jurisdiction to the C O N T R A C T I N G PARTIES to deal with — complaints about government measures consistent with the General Agreement; — matters arising from "any other situation" even if not related to specific governmental actions; — impediments to "the attainment of any objective of the Agreement." I n G A T T practice, complaints based upon an alleged "failure of another contracting party to carry out its obligations under this Agreement" (Article X X I I I : 1 (a)) are referred to as "violation complaints," and complaints invoking Article X X I I I : 1 (b) have been denoted as "non-violation complaints" 4 5 or as being based on "the well-established principle of non-violation nullification or impairment." 4 6 But the term "non-violation complaint" has never been precisely defined by the C O N T R A C T I N G PARTIES. N o r are the differences between "nonviolation complaints" based upon Article X X I I I : 1 (b) and "situation complaints" based upon Article X X I I I : 1 (c), or the relationship between "situations" in terms of Article X X I I I : 1 (c) and "situations" referred to in other safeguard clauses (such as Articles X I I , X V I I I and X I X ) , or the relationship between the altogether six different types of complaints mentioned in Article X X I I I : 1 and the three different kinds of remedial actions by the C O N T R A C T I N G PARTIES mentioned in Article X X I I I : 2, clarified in the text of Article X X I I I .

Table 1: The Six Kinds of Complaints under Article XXIII:

1

" I f any contracting party should consider that Two causes of action:

any benefit accruing to it directly or indirectly under this Agreement is being nullified or impaired

or

the attainment of any objective of the Agreement is being impeded

as the result of "violation complaints"

"non-violation complaints":

"situation complaints":

(a) the failure of another contracting party to carry out its obligations under this Agreement, or (b) the application by another contracting party of any measure, whether or not it conflicts w i t h the provisions of this Agreement, or (c) the existence of any other situation . . . "

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Table 2: Three Kinds of Remedies under Article XXIII:

2

recommendations :

. .the matter may be referred to the C O N T R A C T I N G PARTIES. The C O N T R A C T I N G PARTIES shall promptly investigate any matter so referred to them and shall make appropriate recommendations to the contracting parties which they consider to be concerned.

rulings:

or give a ruling on the matter, as appropriate.

authorizations to suspend obligations:

. . . they may authorize a contracting party or parties to suspend the application to any other contracting party or parties of such concessions or other obligations under this Agreement as they determine to be appropriate in the circumstances."

5. Authorization

of Countermeasures

under Article

XXIII :

2

A c c o r d i n g t o A r t i c l e 60: 2 o f the 1969 V i e n n a C o n v e n t i o n o f the L a w o f Treaties, " A material breach of a multilateral treaty by one of the parties entitles: (a) the other parties by unanimous agreement to suspend the operation of the treaty in whole or in part or to terminate it either (i) in the relations between themselves and the defaulting State, or (ii) as between all the parties; (b) a party specially affected by the breach to invoke it as a ground for suspending the operation of the treaty in whole or in part in the relations between itself and the defaulting State; (c) any party other than the defaulting State to invoke the breach as a ground for suspending the operation of the treaty in whole or in part w i t h respect to itself if the treaty is of such a character that a material breach of its provisions by one party radically changes the position of every party w i t h respect to the further performance of its obligations under the treaty." B u t , according t o paragraph 4 o f A r t i c l e 60, " T h e foregoing paragraphs are w i t h o u t prejudice t o any p r o v i s i o n i n the t r e a t y applicable i n the event o f a breach." Such a special t r e a t y p r o v i s i o n is set o u t i n the f o u r t h sentence o f G A T T A r t i c l e X X I I I : 2, w h i c h grants a b r o a d discretionary a u t h o r i t y t o the

GATT

C o n t r a c t i n g Parties t o " a u t h o r i z e a c o n t r a c t i n g p a r t y o r parties t o suspend the a p p l i c a t i o n t o any o t h e r c o n t r a c t i n g p a r t y o r parties o f such concessions o r o t h e r o b l i g a t i o n s u n d e r this A g r e e m e n t as they determine t o be appropriate i n the 45

E. g. in the Panel Report on EEC Production Aids on Canned Fruit ( G A T T doc. L/ 5778, paragraphs 14, 49 et seq.). 46 G A T T doc. C/M/194, 24; C/M/186, 17.

13 GYIL 34

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circumstances." The drafting history of Article X X I I I confirms 47 that it was meant to be a "self-contained" institutionalized regime for reprisals in response to infringements of G A T T which excludes unilateral reprisals by individual contracting parties based on the general rules of State responsibility and treaty law in order to seek cessation or redress of a violation of a G A T T rule. In accordance with the general rule that suspensions of multilateral treaty obligations should not affect the rights of third contracting parties, Article X X I I I : 2 authorizes countermeasures targeted against the law-breaking country. The 1979 "Agreed Description of the Customary Practice of the G A T T in the Field of Dispute Settlement (Article X X I I I : 2)" notes in respect of the power of the C O N T R A C T I N G PARTIES to authorize the suspension of G A T T obligations: " T h e last resort which Article X X I I I provides to the country invoking this procedure is the possibility of suspending the application of concessions or other obligations on a discriminatory basis vis-à-vis the other contracting party, subject to authorization by the C O N T R A C T I N G PARTIES. Such action has only been rarely contemplated and cases taken under Article X X I I I : 2 have led to such action in only one case." 48

This rare use of reprisals under Article X X I I I : 2 is surprising in view of the fact that, according to the same dispute settlement procedures, an infringement of G A T T obligations is assumed to constitute a "prima facie case of nullification or impairment," and a " prima facie case of nullification or impairment would ipso facto require consideration of whether the circumstances are serious enough to justify the authorization of suspension of concessions or obligations if the contracting party bringing the complaint so requests." 49

The United States, especially under the "Super 301 " and "Special 301 " procedures in the new Section 301 of the Omnibus Trade and Competitiveness Act of 1988, have occasionally made use of retaliatory, discriminatory trade restrictions without recourse to G A T T Article X X I I I : 2 in response to what the USA perceived 47 During the drafting of the Havana Charter provision corresponding to G A T T Article X X I I I : 2, Clair Wilcox , then deputy head of the US delegation, stated in this respect: "We have introduced . . . a new principle in international economic relations. We have asked the nations of the world to confer upon an international organization the right to limit their power to retaliate. We have sought to tame retaliation, to discipline it, to keep it within bounds. By subjecting it to the restraints of international control, we have endeavoured to check its spread and growth, to convert it from a weapon of economic warfare to an instrument of international order" (document EPCT/A/PV/6, 4). 48 49

BISD 26S/216, paragraph 4.

BISD 26S/216, paragraph 5. I t is interesting to note that retaliation has also been rare in case of withdrawals of concessions under G A T T Article X X V I I I : In only three of the about 250 cases of invocation of Article X X V I I I in the period between 1953 and 1986 have the affected countries resorted to the retaliation provision of paragraph 3 of Article X X V I I I after having failed to negotiate a mutually acceptable solution.

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195

as "unreasonable practices" by other countries. But the discussions in the G A T T Council of such unilateral trade sanctions confirm that virtually all G A T T contracting parties seem to share the view that such unilateral trade sanctions — even though they induced a large number of countries to adopt trade-liberalizing measures and to consider G A T T legal reforms in the context of the Uruguay Round of multilateral trade negotiations in G A T T — are inconsistent with Article X X I I I : 2 and w i t h the underlying G A T T principles of rule of law and multilateral dispute settlement. 50 The C O N T R A C T I N G PARTIES have broad discretion under Article X X I I I : 2 whether they authorize the suspension of obligations only by the complaining country vis-à-vis the country complained against, as it had been proposed by the US in 1946 in Article 30 of its "Suggested Charter for an International Trade Organization of the United Nations," or also among other contracting parties. Unlike Article 94 of the 1948 Havana Charter for an International Trade Organization — which authorized the Executive Board to release members from obligations only " t o the extent and upon such conditions as it considers appropriate and compensatory, having regard to the benefit which has been nullified or impaired," so as to avoid the authorization of "sanctions" or "punishments" 5 1 — Article X X I I I : 2 authorizes both "compensatory" actions as well as "punitive" countermeasures to put pressure on the defaulting country to comply with G A T T rules, as the C O N T R A C T I N G PARTIES "determine to be appropriate in the circumstances." The broad scope of Article X X I I I to bring "violation complaints," "nonviolation complaints" and "situation complaints" justified a correspondingly broad power to authorize countermeasures. When, in 1952, the Netherlands requested an authorization under Article X X I I I : 2 to suspend to the USA the application of certain G A T T obligations in response to US import restrictions violating Article X I , the G A T T Working Party established to investigate the appropriateness of the Netherlands request

50 See, e. g., G A T T doc. C/161 on "Discussion on Unilateral Measures" summarizing the pertinent discussions the G A T T Council meeting on 8-9 February 1989. N o t even the USA itself attempted to legally justify the GATT-inconsistency of its discriminatory trade measures. Robert E. Hudec , Thinking About the New Section 301: Beyond Good and Evil, in: Jagdish Bhagwti (ed.), Aggressive Unilateralism, 1990, advances political reasons in support of the threat of "justified disobedience" to keep the forces of G A T T law reform moving forward, because the damage to the G A T T system caused by deadlock on needed reforms might exceed the damage caused by some disobedient act trying to force G A T T reforms. But Hudec admits that unilateral trade retaliation against G A T T contracting parties may be in violation of G A T T , and that in G A T T dispute settlement proceedings the USA has frequently been found guilty of worse sins than the ones it complains about in other countries. 51 See doc. EPCT/A/PV/6 (1947), 12 [Preparatory Committee of the U N Conference on Trade and Employment].

1

196

Ernst-Ulrich

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"felt that the appropriateness of the measure envisaged by the Netherlands Government should be considered from two points of view: in the first place whether, in the circumstances, the measure proposed was appropriate in character, and secondly, whether the extent of the quantitative restriction proposed . . . was reasonable, having regard to the impairment suffered." 52

The Working Party concluded, inter alia , "first that the measure proposed was not unreasonable, and secondly that the somewhat lower figure would be more appropriate in the sense best calculated to achieve the purpose for which the measure was taken, ι. e. the removal of the United States restrictions." 3 3

This single case where countermeasures have been authorized under Article X X I I I : 2 illustrates that the scope of countermeasures authorized under Article X X I I I : 2 might be less than what might be justifiable as compensation. The Netherlands, even though it formally introduced the quota in 1953, never fully enforced the authorized countermeasures. This further illustrates that even the injured country itself might consider the actual enforcement of trade sanctions inappropriate; for "the Netherlands would have been hurting itself as much as the United States if it had turned to another (more expensive) source of supply." 5 4 A G A T T Working Party established in 1955 to examine a proposal that action under Article X X I I I : 2 "should be directed towards the maintenance of a general level of reciprocal and mutually advantageous concessions not less favourable than that provided for in the original situation" rejected the proposal as being inconsistent with the primary function of Article X X I I I to secure, in case of infringements of G A T T rules, the withdrawal of the measures concerned. 55 Only in case of non-violation complaints, where contracting parties are not legally obliged to remove measures consistent with G A T T even if they nullify or impair tariff benefits accruing to other G A T T contracting parties, the suspension authorization under Article X X I I I : 2 seems to serve a solely compensatory function similar to the rights of redress under Article X X V I I I in case of a formal withdrawal of tariff concessions.

II. Non-Violation Complaints under G A T T Article X X I I I : The Concept of the Drafters The concept of nullification and impairment originated in the bilateral trade agreements negotiated in the 1920s and 1930s.56 In order to protect the agreed 52

BISD IS/63. SR.7/17. 54 Robert E. Hudec , The G A T T Legal System and W o r l d Trade Diplomacy, New York 1975, 182, who offers a detailed case-study at 165-184. 55 BISD 3S/250 f. 53

Violation-Complaints

and Non-Violation

Complaints

tariff reductions as well as the reciprocal "balance of concessions" from being undermined by non-tariff trade barriers or by other governmental measures, those agreements made use of three complementary legal techniques: (1) substantive legal rules prohibiting or limiting the use of trade restricting or distorting trade policy measures; (2) procedural rules providing for legal remedies not only in case of treaty violations but also in situations where the commercial opportunities protected by those trade agreements were being nullified by other (e. g. purely domestic) measures; and (3) termination clauses allowing a disappointed party to terminate the trade policy obligations altogether on short notice (mostly three to six months). For instance, a report by a group of trade experts at the 1933 London Monetary and Economic Conference recommended the inclusion of the following general consultation and adjustment clause into international trade agreements: "If, subsequent to the conclusion of the present treaty, one of the Contracting Parties introduces any measure, which even though it does not result in an infringement of terms of the treaty, is considered by the other Party to be of such a nature as to have the effect of nullifying or impairing any object of the treaty, the former shall not refuse to enter into negotiations w i t h the purpose either of an examination of proposals made by the latter or of the friendly adjustment of any complaint preferred by i t . " 5 7

Another example was the dispute settlement provision in the 1942 Reciprocal Trade Agreement between Mexico and the United States which provided that if either party "should consider that any measure adopted by the other Government, even though it does not conflict w i t h the terms of this Agreement, has the effect of nullifying or impairing any object of the Agreement, such other Government shall give sympathetic consideration to such written representations or proposals as may be made w i t h a view to effecting a mutually satisfactory adjustment of the matter". 5 8

A 1931 League of Nations survey of dispute settlement procedures showed that in seventy-three bilateral commercial treaties between European States, not one distinguished between disputes on legal obligations and those on other claims involving an impairment of reciprocal commitments. During the drafting of the dispute settlement provisions which were later incorporated into G A T T Article X X I I I and into Chapter V I I I of the 1948 Havana Charter for an International Trade Organization, it was stated that the dispute settlement provisions (corresponding to Article X X I I I ) could be invoked also in situations in which considerations came up under Chapter I I (on "Employment 56

See Robert E. Hudec (note 54 above), 19 ff.; idem , Regulation of Domestic Subsidies under the M T N Subsidies Code, in: Don Wallace et al. (eds.), Interface Three: Legal Treatment of Domestic Subsidies, Washington 1984, 2 if. 57 Monetary and Economic Conference, League of Nations, Reports Approved by the Conference on 27 July 1933, and Resolutions Adopted by the Bureau and the Executive Committee, document C.435.M.200.1933.II.Spec.4, 29-30. 58

Text in: US Department of State, Executive Agreement Series 276 (1943).

198

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and Economic Activity") or Chapter I I I of the draft Havana Charter (on "Economic Development and Reconstruction") which were not dealt w i t h under the specific Articles on restrictions to safeguard the balance of payments. 59 I t was also stated that Article X X I I I gave a country a right " t o seek a modification of the undertakings it has given if, by the action of others, conditions are created in which it can no longer carry out those undertakings. In other words, if there is a worldwide collapse of demand; if a shortage of a particular currency places us all in balance-of-payments difficulties; if we become subject again to widespread fluctuations in the prices of primary products with devastating effects upon individual economies." 60 A Havana Sub-Committee stated: " T h e Committee was of the opinion that, in case of widespread unemployment or a serious decline in demand in the territory of another Member, a Member might properly have recourse to Article 93 [ X X I I I ] , if the measures adopted by the other Member under the provisions of Article 3 [of the Charter] had not produced the effects which they were designed to achieve and thus did not result in such benefits as might reasonably be anticipated." 6 1

In accordance w i t h this broad scope of application of Article X X I I I , it was further said "by the word 'benefits' we conceive not merely benefits accorded for instance, under the provisions of Article 24 [referring to tariff concessions], but the benefits which other countries derive from the acceptance of the wider obligations imposed by the Charter; that is the benefit which we, amongst other people, would derive from the acceptance of the employment obligations by major industrial countries, and the benefit which industrial countries would derive from the improvements in the standard of living resulting from the operations of Chapter I V to countries w i t h under-developed economies. So I would like to make it quite clear that we have used benefit in this context in a very wide sense." 62

I n Article 93 of the Havana Charter, which corresponds to Article X X I I I of the General Agreement, the terms used in Article X X I I I : 1 ("benefit accruing . . . directly or indirectly") were further expanded ("benefit accruing . . . directly or indirectly, implicitly or explicitly") so as to make sure that nullification or impairment of "any benefit" could also be claimed to exist if the attainment of any objective of the Agreement was being impeded (the second clause in the heading of Article X X I I I : 1 on "attainment of any objective of the Agreement . . . being impeded" was not included into the text of Article 93 of the Havana Charter on the ground that it had no discernible limits). 6 3 59

EPCT/TAC/PV/ 13 (1947), 41.

60

EPCT/A/PV/5 (1947), 14. Reports of Committees and Principal Sub-Committees, U N Conference on Trade and Employment held Havana, Cuba, from 21 November 1947 to 24 March 1948, I C I T O 1948, 155. 62 EPCT/A/PV/12 (1947), 7. 61

63

E/CONF.2/C.6/W.30 (1948).

Violation-Complaints

and Non-Violation

Complaints

The six different types of complaints provided for in Article X X I I I : 1, their undefined substantive conditions and the broad jurisdiction of the C O N T R A C T I N G PARTIES under Article X X I I I : 2 to adjust the mutual rights and obligations confirm that Article X X I I I goes beyond the traditional dispute settlement provisions focusing on treaty violations and was meant to deal also with matters which are often addressed in separate "escape clauses" in other Agreements (see, for example, the "emergency provisions" in Article X X V I I of the Agreement establishing the International Monetary Fund). But the vague legal concepts used in Article X X I I I , the seemingly identical remedies for six different types of complaints, and the broad power of the C O N T R A C T I N G PARTIES to apply and "interpret this clause intelligently" 6 4 were also criticized in the drafting conferences. One participant stated: " O f all the vague and woolly punitive provisions that one could make, this seems to me to hold the prize place. I t appears to me that what it says is this: In this wide world of sin there are certain sins which we have not yet discovered and which after long examination we cannot define; but there being such sins, we will provide some sort of punishment for them if we find out what they are and if we find anybody committing them." 6 5

The reply to this criticism was: "We shall achieve . . . , if our negotiations are successful, a careful balance of the interests of the contracting parties. This balance rests upon certain assumptions as to the character of the underlying situation in the years to come. A n d it involves a mutuality of obligations and benefits. If, w i t h the passage of time, the underlying situation should change or the benefits accorded any contracting party should be impaired, the balance would be destroyed. I t is the purpose of Article X X I I I to restore this balance by providing for a compensatory adjustment in the obligations which the contracting party has assumed. What we have really provided, in the last analysis, is not that retaliation shall be invited or sanctions invoked, but that a balance of interest, once established, shall be maintained." 6 6

A t the Havana Conference the meaning of the dispute settlement provisions was clarified in several respects also as regards non-violation complaints. In particular: — the number of the different types of complaints was reduced from six to three by deleting the second heading about "the attainment of any objective of this Agreement ... being impeded" as a separate cause of complaint (see Article 93, paragraph 1, of the Havana Charter); — the enforcement and remedy provisions distinguished more clearly between "violation complaints" (e.g. Article 94, paragraph 2(d)) and "non-violation" and "situation complaints" (e. g. Article 94, paragraph 2(e); Article 95, paragraph 3);

64 65 66

This expectation was expressed by the Australian delegate, see: EPCT/A/PV/12, 21. EPCT/186, 53. EPCT/A/PV6, 5.

200

Ernst-Ulrich

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— it was made clear in Article 93, paragraph 2 (e), as well as in Committee Reports, 6 7 that the power to issue "recommendations" regarding measures not in violation of G A T T rules does not comprise the power to "require" a member to suspend or withdraw a measure not in conflict with the Charter; 68 — and it was further clarified that in the provisions authorizing withdrawal of concessions "the nature of the relief to be granted ... (under Article X X I I I : 2) is compensatory and not punitive. The word 'appropriate' in the texts should not be read to provide for relief beyond compensation." 69 After the Havana Conference, none of these changes to the dispute settlement provisions was incorporated into the text of Article X X I I I .

I I I . Non-Violation Complaints in G A T T Practice Article X X I I I : 1 (b) or (c) was invoked in fourteen cases out of a total of more than 150 complaints formally raised under Article X X I I I from 1948 up to July 1991. 70 These cases were: 1. Cuban Import Restrictions on Textiles I n 1948, the United States complained that certain import restrictions by Cuba on textiles, whether or not they were in violation of Article X I , were restricting trade and thereby impairing the value of tariff concessions granted by Cuba on textiles in October 1947. The dispute was referred to a G A T T Working Party which reported that the two parties had agreed on a bilateral settlement of their dispute. 71 2. The Australian Subsidy on Ammonium Sulphate I n 1949, Chile complained that Australia's discontinuance of a policy of parallel subsidies on two competing fertilizer products, as a result of which a subsidy on 67

Reports of Committee (note 8), 155. Already the 1947 preparatory meeting Geneva, it was stated that members would be "under no specific and contractural obligations to accept those recommendations" (EPCT/ A/PV/5, 16). A t the Havana Conference, it was even agreed in a Sub-Committee that the power to make recommendations did not empower to "propose" the suspension or withdrawal of a measure not in conflict w i t h the Charter, see: E/CONR2/C.6/83, 2, and Ε/ CONF.2/C.6/W/103, 2. But the word "propose" was later changed in favour of the term "require" (see note 14 above). 68

69 70 71

Report of Committee (note 8), 155. See the chronological list of Article X X I I I complaints by Petersmann (note 3 above). CP.2/43 (1948).

Violation-Complaints

and Non-Violation

Complaints

i m p o r t e d s o d i u m n i t r a t e was r e m o v e d whereas domestic a m m o n i u m sulphate c o n t i n u e d t o be subsidized, had n u l l i f i e d o r i m p a i r e d the t a r i f f concession granted b y A u s t r a l i a t o C h i l e o n s o d i u m n i t r a t e i n 1947. T h e W o r k i n g Party R e p o r t , a d o p t e d b y t h e C O N T R A C T I N G P A R T I E S o n 3 A p r i l 1950, c o n c l u d e d " t h a t n o evidence h a d been presented t o show t h a t t h e A u s t r a l i a n G o v e r n m e n t had failed t o carry o u t its o b l i g a t i o n s u n d e r the A g r e e m e n t " J 2 B u t the W o r k i n g Party agreed t h a t " t h e i n j u r y w h i c h the G o v e r n m e n t o f C h i l e said i t had suffered represented a n u l l i f i c a t i o n o r i m p a i r m e n t o f a benefit accruing t o C h i l e d i r e c t l y o r i n d i r e c t l y u n d e r t h e General A g r e e m e n t " i n terms o f A r t i c l e X X I I I , "if the action of the Australian Government which resulted in upsetting the competitive relationship between sodium nitrate and ammonium sulphate could not reasonably have been anticipated by the Chilean Government, taking into consideration all pertinent circumstances and the provisions of the General Agreement, at the time it negotiated for the duty-free binding on sodium nitrate. The working party concluded that the Government of Chile had reason to assume, during these negotiations, that the war-time fertilizer subsidy would not be removed from sodium nitrate before it was removed from ammonium sulphate. I n reaching this conclusion, the working party was influenced in particular by the combination of the circumstances that: (a) The two types of fertilizer were closely related; (b) Both had been subsidized and distributed through the same agency and sold at the same price; (c) Neither had been subsidized before the war, and the war-time system of subsidization and distribution had been introduced in respect of both at the same time and under the same war powers of the Australian Government; (d) This system was still maintained in respect of both fertilizers at the time of the 1947 tariff negotiations. For these reasons the working party also concluded that the Australian action should be considered as relating to a benefit accruing to Chile under the Agreement, and that it was therefore subject to the provisions of Article X X I I I . . . " The Australian Government, in granting a subsidy on account of the war-time fertilizer shortage and continuing it in the post-war period, had grouped the two fertilizers together and treated them uniformly. I n such circumstances it would seem that the Chilean Government could reasonably assume that the subsidy would remain applicable to both fertilizers so long as there remained a local nitrogenous fertilizer shortage. The working party has no intention of implying that the action taken by the Australian Government was unreasonable, but simply that the Chilean Government could not have been expected during the negotiations in 1947 to have foreseen such action or the reasons which led to i t . " 7 3 T h e W o r k i n g Party " t h u s c o n c l u d e d t h a t there was a prima facie case t h a t the value o f a concession granted t o C h i l e had been i m p a i r e d as a result o f a measure w h i c h 72 73

BISD 1^188-196, paragraph 11. BISD tyl93, paragraph 12.

202

Ernst-Ulrich

Petersmann

d i d n o t c o n f l i c t w i t h the provisions o f the General A g r e e m e n t . " 7 4 T h e W o r k i n g Party s u b m i t t e d t h e f o l l o w i n g t e x t o f a draft r e c o m m e n d a t i o n t o the C O N T R A C T I N G P A R T I E S so as t o assist t h e A u s t r a l i a n and C h i l e a n governments t o arrive at a satisfactory a d j u s t m e n t : "The C O N T R A C T I N G PARTIES recommend that the Australian Government consider, w i t h due regard to its policy of stabilizing the cost of production of certain crops, means to remove any competitive inequality between nitrate of soda and sulphate of ammonia for use as fertilizers which may in practice exist as a result of the removal of nitrate of soda from the operations of the subsidized pool of nitrogenous fertilizers and communicate the results of their consideration to the Chilean Government, and that the two parties report to the C O N T R A C T I N G PARTIES at the next session." 75 B u t i n m a k i n g t h i s r e c o m m e n d a t i o n , t h e W o r k i n g Party drew a t t e n t i o n t o its v i e w that: "There is in their view nothing in Article X X I I I which would empower the C O N T R A C T I N G P A R T I E S to require a contracting party to withdraw or reduce a consumption subsidy such as that applied by the Government of Australia to ammonium sulphate, and the recommendation made by the working party should not be taken to imply the contrary. The ultimate power of the C O N T R A C T I N G PARTIES under Article X X I I I is that of authorizing an affected contracting party to suspend the application of appropriate obligations or concessions under the General Agreement. The sole reason why the adjustment of subsidies to remove any competitive inequality between the two products arising from subsidization is recommended is that, in this particular case, it happens that such action appears to afford the best prospect of an adjustment of the matter satisfactory to both parties." 7 6 T h e annex t o t h e W o r k i n g Party R e p o r t notes t h a t agreement o n this m a t t e r was reached b e t w e e n the t w o governments and n o t i f i e d t o t h e C O N T R A C T I N G P A R T I E S o n 6 N o v e m b e r 1950. T h e annex further reproduces a statement b y the A u s t r a l i a n representative expressing his disagreement w i t h the reasoning o f the W o r k i n g Party. F o r t h e u n d e r s t a n d i n g o f the scope and rationale o f n o n - v i o l a t i o n c o m p l a i n t s , t h e f o l l o w i n g considerations o f the W o r k i n g Party are also w o r t h m e n t i o n i n g : "the Working Party considered that the removal of a subsidy, in itself, would not normally result in nullification or impairment. I n the case under consideration, the inequality created and the treatment that Chile could reasonably have expected at the time of the negotiation, after taking into consideration all pertinent circumstances, including the circumstances mentioned above, and the provisions of the General Agreement, were important elements in the Working Party's conclusion. The situation in this case is different from that which would have arisen from the granting of a new subsidy on one of the two competing products. I n such a case, given the 74 75 76

BISD 11/194, paragraph 13. BISD 11/195, paragraph 17. BISD Ifyl95, paragraph 16.

Violation-Complaints

and Non-Violation

Complaints

freedom under the General Agreement of the Austrialian Government to impose subsidies and to select the products on which a subsidy would be granted, it would be more difficult to say that the Chilean Government had reasonably relied on the continuation of the same treatment for the two products." 7 7 I n his statement annexed t o the W o r k i n g Party R e p o r t , the A u s t r a l i a n representative h a d c r i t i c i z e d , inter alia, t h a t t h e W o r k i n g Party had gone t o considerable t r o u b l e t o show the reasonable expectations o f C h i l e w i t h o u t a t t r i b u t i n g equal i m p o r t a n c e t o the " q u e s t i o n o f w h a t o b l i g a t i o n s w i t h respect t o a m m o n i u m sulphate A u s t r a l i a c o u l d reasonably have expected w h e n she consented t o a b i n d i n g o f t h e free-duty rate o n s o d i u m n i t r a t e . " 7 8 T h e r e l a t i o n s h i p between t a r i f f bindings and the " f r e e d o m u n d e r t h e General A g r e e m e n t . . . t o impose subsidies" e x p l i c i t l y acknowledged i n the W o r k i n g Party, was f u r t h e r clarified i n a W o r k i n g Party R e p o r t , a d o p t e d o n 3 M a r c h 1955 d u r i n g the 1954-55 R e v i e w Session o f the C O N T R A C T I N G P A R T I E S , w h i c h agreed: "that a contracting party which has negotiated a concession under Article I I may be assumed, for the purpose of Article X X I I I , to have a reasonable expectation, failing evidence to the contrary, that the value of the concession will not be nullified or impaired by the contracting party which granted the concession by the subsequent introduction or increase of a domestic subsidy on the product concerned." 79 T h i s 1955 W o r k i n g Party "also agreed that there was nothing to prevent contracting parties, when they negotiate for the binding or reduction of tariffs, from negotiating on matters, such as subsidies, which might affect the practical effects of tariff concessions, and from incorporating in the appropriate schedule annexed to the Agreement the results of such negotiations; provided that the results of such negotiations should not conflict w i t h other provisions of the Agreement." 8 0 . T h e q u e s t i o n o f w h e t h e r an a s s u m p t i o n o f "reasonable e x p e c t a t i o n s " and o f a " prima facie n u l l i f i c a t i o n o r i m p a i r m e n t " o f t a r i f f concessions is n o longer j u s t i f i e d w h e n t h e subsidy was granted n o t o n t h e concession p r o d u c t concerned b u t o n a c o m p e t i t i v e s u b s t i t u t e p r o d u c t , was n o t f u r t h e r elaborated i n the r e p o r t . A Panel R e p o r t o n " O p e r a t i o n o f t h e Provisions o f A r t i c l e X V I , " a d o p t e d o n 21 N o v e m b e r 1961, n o t e d i n respect o f the a b o v e - m e n t i o n e d q u o t a t i o n f r o m t h e 1955

77

BISD I J/193, paragraph 12. According to the Australian statement, "the history and practice of tariff negotiations show clearly that if a country seeking a tariff concession on a product desires to assure itself of a certain treatment for that product in a field apart from rates of duty and to an extent going further than is provided for in the various articles of the General Agreement, the objective sought must be a matter for negotiation in addition to the actual negotiation respecting the rates of duty to be applied," see: BISD 1^196. 79 BISD 3S/224. 80 BISD 3S/225. 78

204

Ernst-Ulrich

Petersmann

W o r k i n g Party R e p o r t t h a t the expression "reasonable e x p e c t a t i o n " was qualified b y the w o r d s " f a i l i n g evidence t o the c o n t r a r y . " By this t h e Panel u n d e r s t o o d "that the presumption is that unless such pertinent facts were available at the time the tariff concession was negotiated, it was then reasonably to be expected that the concession would not be nullified and impaired by the introduction or increase of a domestic subsidy." 8 1

3. Treatment

by Germany

of Imports

of Sardines

I n 1952, N o r w a y c o m p l a i n e d t h a t the i m p o s i t i o n b y G e r m a n y o f different t a r i f f rates, b o r d e r t a x rates and q u a n t i t a t i v e restrictions o n b i o l o g i c a l l y d i s t i n c t b u t c o m m e r c i a l l y c o m p e t i t i v e k i n d s o f sardines d i s c r i m i n a t e d i n favour o f sardines e x p o r t e d m a i n l y b y P o r t u g a l (clupea pilchardus)

i n a manner inconsistent w i t h

A r t i c l e s 1:1 and X I I I : 1 and n u l l i f i e d o r i m p a i r e d the G e r m a n t a r i f f bindings o n " s p r a t s " (clupea sprattus)

and " h e r r i n g s " (clupea harengus) n e g o t i a t e d b y N o r w a y

i n the 1951 T o r q u a y n e g o t i a t i o n s . T h e Panel R e p o r t , a d o p t e d o n 31 O c t o b e r 1952, c o n c l u d e d " t h a t n o sufficient evidence had been presented t o show t h a t the G e r m a n G o v e r n m e n t had failed t o carry o u t its obligations under A r t i c l e 1:1 and A r t i c l e X I I I : l . " 8 2 B u t the Panel agreed t h a t n u l l i f i c a t i o n o r i m p a i r m e n t i n terms o f A r t i c l e X X I I I w o u l d exist "if the action of the German Government, which resulted in upsetting the competitive relationship between preparations of clupea pilchardus and preparations of the other varieties of the clupeoid family could not reasonably have been anticipated by the Norwegian Government at the time it negotiated for tariff reductions on preparations of clupea sprattus and clupea harengus. The Panel concluded that the Government of Norway had reason to assume, during these negotiations that preparations of the type of clupeae in which they were interested would not be less favourably treated than other preparations of the same family and that this situation would not be modified by unilateral action of the German Government. In reaching this conclusion, the Panel was influenced in particular by the following circumstances: (a) the products of the various varieties of clupeae are closely related and are considered by many interested parties as directly competitive; (b) that both parties agreed that the question of the equality of treatment was discussed in the course of the Torquay negotiations; and (c) although no conclusive evidence was produced as to the scope and tenor of the assurances or statements which may have been given or made in the course of these discussions, it is reasonable to assume that the Norwegian delegation in assessing preparations of clupeae and in offering counter concessions, had taken into account the advantages resulting from the continuation of the system of equality which had prevailed ever since 1925." 83 81 82 83

BISD 10S/209, paragraph 28. BISD IS/53-59, 58. BISD IS/59, paragraph 16.

Violation-Complaints

and Non-Violation

Complaints

N o t w i t h s t a n d i n g t h e lack o f a Panel f i n d i n g as t o w h e t h e r t h e G e r m a n G o v e r n m e n t actually had given any assurances and w h a t i t had said, the Panel R e p o r t c o n c l u d e d f r o m this: "As the measures taken by the German Government have nullified the validity of the assumptions which governed the attitude of the Norwegian delegation and substantially reduced the value of the concessions obtained by Norway, the Panel found that the Norwegian Government is justified in claiming that it had suffered an impairment of a benefit accruing to it under the General Agreement. I n the light of the considerations set out above, the Panel suggests to the Contracting Parties that it would be appropriate for the Contracting Parties to make a recommendation to Germany and Norway in accordance w i t h the first sentence of paragraph 2 of Article X X I I I . This recommendation should aim at restoring, as far as practicable, the competitive relationship which existed at the time when the Norwegian Government negotiated at Torquay and which that Government could reasonably expect to be continued." 8 4 I n a R e c o m m e n d a t i o n a d o p t e d o n 31 O c t o b e r 1952, t h e C O N T R A C T I N G P A R T I E S accordingly r e c o m m e n d e d "that the Government of the Federal Republic of Germany consider ways and means to remove the competitive inequality between the preparations of Clupea pilchardus and those of other varieties of the Clupeoid family which may, in practice, exist as a result of the changes introduced in 1951 and 1952 in the treatment of preparations of Clupea pilchardus as regards the imposition of import duties and taxes and as regards the relaxation of quantitative restrictions on imports, and consult w i t h the Government of Norway w i t h respect to the results of their consideration, and that the two parties report to the C O N T R A C T I N G P A R T I E S no later than the opening day of the Eigth Session.85 I n O c t o b e r 1953, t h e parties t o t h e dispute i n f o r m e d the

CONTRACTING

P A R T I E S o f t h e i r agreement o n a settlement o f the dispute, under w h i c h G e r m a n y u n d e r t o o k t o correct all b u t one per cent o f the t a r i f f differential and t o make satisfactory adjustments i n the o t h e r areas. 86

4. German

Import

Duties on Starch

I n 1954, the Benelux countries c o m p l a i n e d t h a t t h e i r 1950-51 exchange o f t a r i f f concessions w i t h G e r m a n y had been o u t o f balance as a result o f the failure b y G e r m a n y t o b r i n g d o w n t o the level o f the Benelux t a r i f f rates the G e r m a n duties o n certain starch p r o d u c t s . D u r i n g these t a r i f f negotiations, t h e chief o f the G e r m a n delegation had agreed i n a l e t t e r delivered t o the Benelux delegations

84 85 86

Idem , paragraphs 17 and 18. BISD IS/31. G A T T doc. G/52/Add.l (1953).

206

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"that the duties in the German draft custom tariff on these products should be reduced as soon as possible to the level of the duties applied by Benelux . . . The Government of the Federal Republic of Germany is prepared to open negotiations w i t h the Governments of the Benelux countries on the subject of a new reduction of German duties on starch and starch derivatives w i t h a view to applying as soon as possible under the new German custom tariff a duty of 15 per cent on starch and potato flour and similar duties on starch derivatives." 87

The Panel Report, which was "noted" by the C O N T R A C T I N G PARTIES on 16 February 1955, states that: " i t was not necessary for the Panel to submit definite recommendations to the C O N T R A C T I N G P A R T I E S since the German delegation was in a position to make an offer which was considered by the Benelux delegations as providing a satisfactory adjustment of the matter for the time being." 8 8

The Panel nonetheless considered the case and found that the two parties agreed that the " t w o promises" contained in the letter by the chief of the German delegation, "formed part of the balance of concessions granted at Torquay and that the contemplated reduction of the German duties would be made without any further concession from the Benelux Governments." 89 The Panel findings appear to indicate that a "promise" to negotiate on progressive tariff reductions, even though it had neither been made part of the formal schedule of tariff concessions nor deposited formally w i t h the Secretariat, can justify a finding of "non-violation nullification or impairment of benefits" in terms of Article X X I I I if the failure to implement the promised tariff advantages upsets the "reasonable expectations" and the balance of reciprocal tariff concessions.

5. Uruguayan Recourse to Article

XXIII

In 1961, Uruguay complained that benefits accruing to it under the General Agreement had been nullified or impaired as the result of 562 listed trade restrictions in fifteen industrialized countries, each affecting an Uruguayan export product. The three Panel Reports, adopted on 16 November 1962 and 3 March 1963, 90 respectively, note that Uruguay did not "claim that there was infringement of G A T T provisions or otherwise . . . demonstrate the grounds for the invocation of the procedures relating to nullification and impairment", 9 1 except for a reference to the "existence of any other situation" in terms of Article X X I I I : 1 (c). The Panel considered, inter alia , that: 87 88 89 90 91

The text of the letter is annexed to the Panel Report, in: BISD 3S/80. Idem, 78. Idem, 78. BISD IIS/95-148; 13S/33-55. BISD 13S/47.

Violation-Complaints

and Non-Violation

Complaints

20 7

" I n cases where there is a clear infringement of the provisions of the General Agreement, or in other words, where measures are applied in conflict w i t h the provisions of G A T T and are not permitted under the terms of the relevant protocol under which the G A T T is applied by the contracting party, the action would, prima facie , constitute a case of nullification or impairment and would ipso facto require consideration of whether the circumstances are serious enough to justify the authorization of suspension of concessions or obligations. While it is not precluded that a prima facie case of nullification or impairment could arise even if there is no infringement of G A T T provisions, it would be in such cases incumbent on the country invoking Article X X I I I to demonstrate the grounds and reasons for its invocation. Detailed submissions on the part of that contracting party on these points were therefore essential for a judgment to be made under this Article." 9 2

The Panel initiated consultations w i t h the contracting parties concerned and took the position that, in cases where Uruguay had not challenged the contention that the individual measures were not in violation of specific G A T T obligations and where such contention was not contradicted by the available records of the C O N T R A C T I N G PARTIES, " i t would be beyond its competence to examine whether the contention was or was not justified." 93 The Panel examined all restrictions on an individual basis, item by item, and — where the Panel found the measures to be inconsistent with the General Agreement — recommended the removal of the measures concerned. I n respect of certain other import restrictions (such as import charges and State trading), the Panel Report found there were "a priori grounds for assuming that they could have an adverse effect on Uruguay's exports" and "recalled the provisions of Article X X I I pursuant to which the Government . . . would no doubt accord sympathetic consideration to any concrete representations which Uruguay might wish to make concerning these measures, or their administration, w i t h a view.to minimizing any such adverse effects." 94 The third Panel Report, adopted on 3 March 1963, noted that certain contracting parties had complied w i t h the recommended removal of the measures in question or of their adverse effects on Uruguayan exports also in cases where the Panel had been unable to find that the measures concerned had nullified or impaired benefits in terms of Article X X I I I : l . 9 5 6. French Import Restrictions In 1962, the United States complained that residual balance-of-payments restrictions maintained by France were inconsistent with Article X I and nullified or impaired tariff concessions granted by the EEC to the United States in the 1960-61 Dillon Round negotiations. France acknowledged the inconsistency of the quanti92 93 94 95

BISD Idem, BISD BISD

11S/100, paragraph 15. 100, paragraph 16. 11S/105, 108, 111, 113, 116, 119, 123, 127, 130, 133, 138, 141, 144, 148. 13S/48.

208

Ernst-Ulrich

Petersmann

tative restrictions with G A T T Article X I but denied an additional nullification or impairment of the tariff concessions on the ground that the United States had negotiated and obtained these tariff concessions in full knowledge of the residual import restrictions and of the French policy toward their future liberalization. 96 The Panel Report, adopted on 14 November 1962, did not specifically decide the issue and merely found that the import restrictions were inconsistent with G A T T Article X I and, as a result, "there is nullification or impairment of benefits to which the United States is entitled under G A T T . " 9 7

7. Article XXIV:

6 Renegotiations between Canada and the EEC

I n 1974, when Article X X I V : 6 negotiations between Canada and the European Communities in connection with the enlargement of the EEC did not produce satisfactory results, Canada referred the matter to the C O N T R A C T I N G PARTIES pursuant to paragraph 1 (c) and 2 of Article X X I I I and requested that a panel of experts be appointed to investigate whether the new Schedules L X X I I and LXXIIbis maintained a general level of reciprocal and mutually advantageous concessions between Canada and the European Communities, not less favorable to trade than that provided for in Schedules X L , XLbis, X I X , X X I I and L X I . 9 8 The representative of the European Communities recalled "that the negotiations that had led to this new Schedule covered practically the whole of the customs tariffs in question and a difficult assessment of both a quantitative and qualitative character was therefore called for. The Community could not accept the proposal. The conciliation procedures of the G A T T had hitherto mostly been used in cases of violations of the General Agreement; in the present case, a number of factors made this procedure inappropriate. Such an exercise would involve highly sophisticated assessments in complex trade fields where the criteria for reaching judgments were exceedingly imprecise." 99 A t the following Council meeting, the Chairman "concluded that it was the wish of the Council, with the exception of the European Communities, to establish such a panel and that he should, in due course, discuss the question of the panel in consultation with the parties most concerned." 100 The Panel never met due to agreement reached between the parties in March 1975.

96

G A T T doc. L:1899 (1962); SR.20/8, 109-111 (1962). BISD 11S/95. 98 G A T T doc. L/4107 (1974), C/M/101, 7. 99 C/M/101, 8. 100 C/M/102, 4. 97

Violation-Complaints 8. EEC — Production

and Non-Violation

Aids Granted

on Canned

Complaints Fruits and Dried

Grapes

I n 1982, t h e U n i t e d States c o m p l a i n e d under A r t i c l e X X I I I : 1 (b) t h a t p r o d u c t i o n aids granted b y the E E C o n certain canned f r u i t s and d r i e d grapes had altered the p r e v i o u s l y e x i s t i n g c o m p e t i t i v e relationship between E E C and i m p o r t e d p r o d u c t s and, thereby, n u l l i f i e d o r i m p a i r e d the c o m p e t i t i v e benefits d e r i v i n g f r o m previous t a r i f f concessions granted b y the E E C i n 1962,1967, 1973 and 1979 o n the p r o d u c t s i n question. I n the U n i t e d States view, the mere i n t r o d u c t i o n o f such subsidies c o n s t i t u t e d prima facie n u l l i f i c a t i o n and i m p a i r m e n t o f the t a r i f f bindings. T h e Panel R e p o r t o f 20 February 1985, w h i c h was n o t a d o p t e d b y the G A T T C o u n c i l after t h e parties t o the dispute had agreed o n a bilateral settlem e n t , f o u n d , inter alia , t h a t "the tariff bindings granted by the EEC in 1974/79 on the four product categories concerned had created for the United States benefits accruing to it directly or indirectly under this Agreement in terms of Article X X I I I : 1 of the General Agreement." 1 0 1 " . . . nullification or impairment of the tariff concession would exist if the introduction or increase of the EEC production aids could not have been reasonably anticipated by the United States at the time of the negotiations for the tariff concessions on those products and the aid systems had upset the competitive position of imported canned peaches, canned pears, canned fruit cocktail and dried grapes on the EC m a r k e t / ' 1 0 2 " T h e Panel was of the view that the three Panel reports which had examined 'nonviolation complaints' under Article X X I I I of the General Agreement (i. e. the Report of the Working Party on the Australian subsidy on ammonium sulphate, BISD 11/188; the Report of the Panel on the treatment by Germany of imports of sardines, BISD IS/53; and the Panel Report on Uruguay's recourse to Article X X I I I , BISD 11S/95) had not precluded the possibility that an unforeseeable subsequent introduction or increase of a domestic subsidy on a product, for which a tariff concession had been previously granted, could constitute an assumption of prima facie nullification or impairment of the tariff concession concerned . . . Since the Panel agreed that it had established the existence of nullification or impairment of tariff concessions and this finding did not depend on any assumptions of prima facie nullification or impairment of tariff concessions, the Panel found that an examination of whether the production aid systems constitute prima facie nullification or impairment would have no bearing on the Panel conclusions. The Panel decided, therefore, not to include its deliberations on this legal question in the Panel report." 1 0 3 "The Panel concluded that the production aids granted by the EEC since 1978 to processors of peaches and since 1979 to processors of pears nullified or impaired benefits accruing to the United States from tariff concessions granted by the EEC under Article I I of the General Agreement in 1974 on canned peaches, canned pears and canned fruit mixtures and in 1979 on canned pears .. . " 1 0 4 101

G A T T doc. L/5778 (1985), paragraph 49. L/5778, paragraph 51. 103 L/5778, paragraph 76. 104 L/5778, paragraph 78. For a detailed justification of this Panel conclusion see paragraphs 49 to 74 and 79 to 81. 102

14 GYIL 34

210

Ernst-Ulrich

Petersmann

"Having established the existence of nullification and impairment of tariff concessions w i t h respect to canned peaches, canned pears, and canned fruit mixtures, the Panel considered what suggestions it could make so as to assist the C O N T R A C T I N G PARTIES in their task of formulating recommendations to achieve a satisfactory settlement of the matter. The Panel noted that in past 'non-violation' complaints of nullification or impairment of tariff concessions (BISD 11/195; IS/30, 31, 59) the C O N T R A C T I N G PARTIES had recommended that the party against which the finding had been made consider ways and means t o remove the competitive inequality brought about by the measure at issue. The Panel was aware of the finding of the Working Party Report on the Australian subsidy on ammonium sulphate that 'there is nothing in Article X X I I I which would empower the C O N T R A C T I N G PARTIES to require a contracting party to withdraw or reduce a consumption subsidy'... and that the ultimate power of the C O N T R A C T I N G P A R T I E S under Article X X I I I is that of authorizing an affected contracting party to suspend the application of appropriate obligations or concessions under the General Agreement' (BISD 11/195, para. 16). I n making the following draft recommendation, the Panel also wishes to emphasize that the recommendation cannot constitute a legal obligation for the EEC to remove or reduce its domestic production subsidies and does not preclude other modes of settling the dispute such as granting of compensation or, in the last resort, a request for authorization of suspension of concessions. The Panel also wishes to emphasize that this recommendation cannot detract from the rights of contracting parties under Article X X I V : 6 of the General Agreement." 1 0 5 " T h e Panel therefore suggests that the C O N T R A C T I N G PARTIES recommend to the EEC that it consider ways and means to restore the competitive relationship between imported US and domestic EC canned peaches, canned pears and canned fruit cocktail which derived from the tariff concessions granted in 1974 on these products and in 1979 on canned pears. I n accordance w i t h agreed dispute settlement procedures (BISD 29S/15, para, (viii)), the EEC should be invited to report within a reasonable, specified period on action taken pursuant to this recommendation." 1 0 6

9. EEC

Tariff

Treatment

on Imports

Certain

Countries

in the Mediterranean

of Citrus

Products

from

Region

I n 1982, t h e U n i t e d States b r o u g h t a c o m p l a i n t u n d e r A r t i c l e X X I I I t h a t the preferences granted b y the E E C o n citrus p r o d u c t s f r o m certain M e d i t e r r a n e a n countries were inconsistent w i t h A r t i c l e I and c o n t i n u e d t o have an adverse effect o n U n i t e d States' citrus e x p o r t s . T h e Panel R e p o r t o f 7 February 1985, w h i c h was n o t a d o p t e d b y t h e G A T T C o u n c i l i n v i e w o f the objections raised b y a n u m b e r o f c o n t r a c t i n g parties and a bilateral agreement reached a m o n g the d i s p u t i n g parties o n a settlement o f t h e i r dispute, f o u n d , inter

alia:

— "that the question of the conformity of the agreements w i t h the requirements of Article X X I V and their legal status remained open . . . " 1 0 7 105 106

L/5778, paragraph 82. L/5778, paragraph 83.

Violation-Complaints

and Non-Violation

Complaints

211

— " T h e Panel considered that the practice, so far followed by the C O N T R A C T I N G PARTIES, never to use the procedures of Article X X I I I : 2 to make recommendations or rulings on the GATT-conformity of measures subject to special review procedures was sound. I t felt that the purposes these procedures served and the balance of interests underlying them would be lost if contracting parties could invoke the general procedures of Article X X I I I : 2 for the purpose of requesting decisions by the C O N T R A C T I N G P A R T I E S on measures to be reviewed under the special procedures. The Panel therefore concluded that it should, in the absence of a specific mandate by the Council to the contrary, follow this practice also in the case before it and therefore abstain from an overall examination of the bilateral agreements." 108 — " T h e Panel then examined if Article X X I I I : 1 (b) applied to the case; i. e., whether the consequences of the implementation of the agreements could be considered as nullifying or impairing the benefits accruing from the General Agreement as the result of the application of measures not conflicting with the provisions of the General Agreement. In this respect the Panel noted that the absence of a pertinent decision by the C O N T R A C T I N G P A R T I E S did not create a legal vacuum. In fact the decision had to be considered as pending and could therefore be taken at any time in the future . . . A t this stage, on the multilateral level, the status of the agreements had to be considered as still undetermined . . . The situation created by the C O N T R A C T I N G PARTIES suspended the normal impact of certain G A T T rules. However, this could not mean that contracting parties no longer had any rights and obligations .. . " 1 0 9 — " I n the light of the above, the Panel proceeded to examine in accordance w i t h Article X X I I I : 1 (b) whether and how a benefit accruing to the US directly or indirectly under Article 1:1 had been nullified or impaired as a result of the EEC's application of tariff preferences on citrus products from certain Mediterranean countries, whether or not these preferences conflicted w i t h the provisions of the General Agreement (réf. para. 4.2). The Panel considered that such an examination was in keeping w i t h its terms of reference to examine the matter in the light of the relevant G A T T provisions of Article X X I I I : 1, and therefore the matter could also be considered under Article X X I I I : 1 (b). The US had indeed contended inter alia that the preferences continued to have an adverse effect on US citrus exports. Moreover the US had stated that even if the granting of tariff preferences was consistent w i t h the General Agreement, Article X X I I I : 1 (b) would justify the US complaint that G A T T benefits were being nullified or impaired (réf. para. 3.33)." 1 1 0 — " T h e Panel considered whether it could be guided in its examination of the matter at hand by the two previous rulings that had been made by C O N T R A C T I N G P A R T I E S w i t h reference to Article X X I I I : 1 (b); i. e. the report of the Working Party on the Australian subsidy on ammonium sulphate (BISD Vol. 11/188-196) and the report of the Panel on the treatment by Germany of imports of sardines (BISD 1 S/53-59), which were adopted by C O N T R A C T I N G P A R T I E S on 3 A p r i l 1950 and 31 October 1952, respectively. In these two cases nullification or impairment (in one case prima facie

107 108 109 110

1

G A T T doc. L:5776 (1985), paragraph 4.10. L/5776, paragraph 4.16. L/5776, paragraphs 4.21 and 4.22. L/5776, paragraph 4.25.

212

Ernst-Ulrich

Petersmann

nullification or impairment) of a benefit was found, as a result of the existence of the following three conditions: (a) a tariff concession was negotiated; (b) a governmental measure, not inconsistent w i t h the General Agreement, had been introduced subsequently which upset the competitive relationship between the bound product w i t h regard to directly competitive products from other origins; and (c) the measure could not have been reasonably anticipated by the party to whom the binding was made, at the time of the negotiation of the tariff concession (BISD Vol. 11/192-193, para. 12, BISD IS/58-59, paras. 16 and 17)." 1 1 1

The Panel concluded, inter alia, : "(f) Given that the tariffs on some of the products covered by the complaint of the United States were not bound, that the preferences were already being granted by the EEC to certain Mediterranean countries on certain fresh citrus before the negotiation of concessions by the Community of the Nine in 1973, and that it could be expected that these preferences would be deepened and extended thereafter, prima facie nullification or impairment of benefits accruing under Article I I in the sense of Article X X I I I : 1 (b) could not be concluded on the basis of past precedents; (g) One of the fundamental benefits accruing to the contracting parties under the General Agreement was the right to adjustment in situations in which the balance of their rights and obligations had been upset to their disadvantage. In view of the fact that: — the C O N T R A C T I N G PARTIES had refrained from making a recommendation under Article X X I V : 7 on EEC agreements w i t h the Mediterranean countries on the understanding that the rights of third countries would thereby not be affected, — the C O N T R A C T I N G PARTIES had not prevented the EEC to implement the agreements w i t h the Mediterranean countries on the understanding that the practical effects of their implementation would be kept under review, — and further that the formation of customs unions or free-trade areas between the EEC and the Mediterranean countries concerned had not yet been realized since the examination of the agreements by the C O N T R A C T I N G PARTIES, the balance of rights and obligations underlying Articles I and X X I V of the General Agreement had been upset to the disadvantage of the contracting parties not parties to these agreements. The United States was therefore entitled to offsetting or compensatory adjustment to the extent that the grant of the preferences had caused substantial adverse effects to its actual trade or its trade opportunities; (h) Tariff preferences were obviously less favourable to a non-beneficiary exporter but the existence of the EEC tariff preferences in itself could not be presumed in the light of the conclusions contained in (d) and (f) above, as prima facie evidence of injury to trade or of adverse effect on trade based on past precedents;" 112 "(j) O n the basis of all the available evidence taken together, it appeared that the EC tariff preferences accorded to certain Mediterranean countries on fresh oranges and 111 112

L/5776, paragraph 4.26. L/5776, paragraph 5.1.

Violation-Complaints

and Non-Violation

Complaints

fresh lemons had operated in practice to affect adversely US trade in these products w i t h the EC and upset the competitive relationship between the United States and the EC's Mediterranean suppliers; (k) I n light of the undetermined legal status of the EC agreements w i t h certain Mediterranean countries under which the EC granted tariff preferences on certain citrus products and of the fact that the formation of a customs union or free-trade area had not yet been realized between the EC and the countries concerned, the benefit accruing to the United States directly or indirectly under Article 1:1 has been impaired as a result of the EECs application of tariff preferences on fresh oranges and lemons from certain Mediterranean countries in the sense of Article X X I I I : 1(b)."113 " T h e Panel did not feel it necessary for it to evaluate precisely the extent to which the US had suffered damage to its actual trade or trade opportunities, as a result of the EC tariff preferences on fresh oranges and lemons, or by what amount the preferences had upset the competitive relationship between the US and the Mediterranean countries. I t believed such matters would best be left to the two parties concerned to establish, taking into account the Panel's findings and conclusions. W i t h o u t prejudice to other solutions the two parties might ultimately arrive at, the Panel wished to submit to the C O N T R A C T I N G PARTIES the following draft recommendation, which after its lengthy examination of the matter, the Panel considered appeared to afford the best prospect of an adjustment of the matter satisfactory to both parties, taking into account the interests of all other parties concerned: The EEC should consider limiting the adverse effect on US exports of fresh oranges and fresh lemons, as a result of the preferential tariff treatment the EEC has accorded to these products originating in certain Mediterranean countries. This could be accomplished by reducing the most-favoured-nation tariff rates applied by the EEC on fresh lemons; and as regards fresh oranges, by extending the period of application of the lower m. f. n. tariff rates and/or reducing the m. f. n. tariff rates. I n view of the passage of time on this trade problem, the EEC should take action to this effect by no later than 15 October 1985." 1 1 4

10. Japan — Nullification Accruing

or Impairment

of the Benefits

to the EEC under the General Agreement to the Attainment

of GATT

and

Impediment

Objectives

I n 1983, t h e E E C b r o u g h t a c o m p l a i n t against Japan u n d e r A r t i c l e X X I I I : 2 o n the g r o u n d " t h a t benefits o f successive G A T T n e g o t i a t i o n s w i t h Japan have n o t been realized o w i n g t o a series o f factors p a r t i c u l a r t o t h e Japanese e c o n o m y w h i c h have resulted i n a l o w e r level o f i m p o r t s , especially o f m a n u f a c t u r e d p r o d u c t s , as c o m p a r e d w i t h those o f o t h e r i n d u s t r i a l countries

T h e European C o m m u n i t y

is o f t h e v i e w t h a t the present s i t u a t i o n c o n s t i t u t e s a n u l l i f i c a t i o n o r i m p a i r m e n t 113 114

L/5776, paragraph 5.1. L/5776, paragraph 5.3.

214

Ernst-Ulrich

Petersmann

b y Japan, o f t h e benefits otherwise accruing t o the E u r o p e a n C o m m u n i t y u n d e r t h e G A T T , and an i m p e d i m e n t t o t h e a t t a i n m e n t o f G A T T ' s objectives. I n p a r t i c u l a r the general G A T T objective o f 'reciprocal and m u t u a l l y advantageous arrangements' has n o t been a c h i e v e d . " 1 1 5 T h e E E C request for the establishment o f a W o r k i n g Party under A r t i c l e X X I I I : 2 was opposed b y Japan and was n o t pursued. 11. United

States Trade Measures Affecting

Nicaragua

I n 1985, N i c a r a g u a requested the establishment o f a Panel under A r t i c l e X X I I I t o review certain trade measures b y the U n i t e d States affecting Nicaragua. T h e terms o f reference e x p l i c i t l y i n s t r u c t e d the Panel n o t t o " e x a m i n e o r judge the v a l i d i t y o f o r m o t i v a t i o n f o r t h e i n v o c a t i o n o f A r t i c l e X X I : 1 (b) (iii) b y the U n i t e d States." T h e Panel R e p o r t o f 13 O c t o b e r 1986 has n o t yet been a d o p t e d b y the G A T T C o u n c i l w h i c h , i n its m e e t i n g i n A p r i l 1990, o n l y t o o k n o t e o f the removal o f t h e U S measures affecting Nicaragua. T h e R e p o r t records, inter

alia ,

the

f o l l o w i n g arguments s u b m i t t e d b y Nicaragua t o the Panel: "Nicaragua stressed that, whether the invocation of Article X X I : (b) (iii) was justified or not, in either case benefits accruing to Nicaragua under the General Agreement had been seriously impaired or nullified as a result of the embargo. As recognized by the C O N T R A C T I N G PARTIES in the Agreed Description of the Customary Practice of the G A T T in the Field of Dispute Settlement, recourse to Article X X I I I was permitted if nullification or impairment resulted from measures taken by other contracting parties whether or not these conflicted w i t h the provisions of the General Agreement (BISD 26S/216). I t had also been recognized both by the drafters of the General Agreement (EPCT/A/SR.33) and by the C O N T R A C T I N G P A R T I E S (BISD 29S/29) that an invocation of Article X X I did not prevent recourse to Article X X I I I . According to longstanding G A T T practice, the benefits accruing to contracting parties under Article I I could be nullified or impaired by measures consistent w i t h the General Agreement that could not reasonably have been anticipated at the time when the tariff concessions were negotiated. Nicaragua had no reason to expect that an embargo would cut off all trade relations w i t h the United States when the United States tariff concessions were negotiated, i.e. between 1949 and 1961. The benefits accruing to Nicaragua under Article I I had therefore been nullified or impaired as a result of the embargo. Nicaragua further stated that it was clear from the drafting history of Article X X I I I that this provision was intended to protect not only the benefits under Article I I but any benefit accruing to contracting parties under the General Agreement(EPCT/A/PV.112). The embargo had in fact nullified or impaired the benefits accruing to Nicaragua under all the trade-facilitating provisions of the General Agreement. O n previous occasions panels had recommended the withdrawal of measures which, though not inconsistent w i t h the General Agreement, had nullified or impaired benefits accruing to the contracting parties under it (BISD Vol. 11/195 and 13S/48). Nicaragua asked the Panel to do so also in the present case." 116 115 116

G A T T doc. L/5479 (1983). L/6053 (1986), paragraph 4.8.

Violation-Complaints

and Non-Violation

Complaints

The Panel Report includes, inter alia , the following findings of the Panel: "5.4 Being precluded from examining the embargo in light of paragraph (a) of Article X X I I I : 1, the Panel proceeded to examine it in the light of paragraph (b) of Article X X I I I : 1. Consequently, it considered the question of whether benefits accruing to Nicaragua under the General Agreement had been nullified or impaired by the embargo whether or not it conflicted w i t h the provisions of the General Agreement. 5.5 The Panel noted that the previous cases under paragraph (b) of Article X X I I I : 1 (BISD Vol. 11/192-193 and BISD IS/58-59) involved measures that had been found to be consistent w i t h the General Agreement while in the present case it could not be determined whether or not the measure was consistent w i t h the General Agreement. The Panel nevertheless considered the principles established in the previous cases to be applicable in the present case because a contracting party has to be treated as if it is observing the General Agreement until it is found to be acting inconsistently w i t h it. 5.6 The Panel noted that the embargo had virtually eliminated all opportunities for trade between the two contracting parties and that it had consequently seriously upset the competitive relationship between the embargoed products and other directly competitive products. The Panel considered the question of whether the nullification or impairment of the trade opportunities of Nicaragua through the embargo constituted a nullification or impairment of benefits accruing to Nicaragua within the meaning of Article X X I I I : 1 (b). The Panel noted that this question raised basic interpretative issues relating to the concept of non-violation nullification and impairment which had neither been addressed by the drafters of the G A T T nor decided by the C O N T R A C T I N G PARTIES. Against this background the Panel felt that it would only be appropriate for it to propose a ruling on these issues if such a ruling would enable the C O N T R A C T I N G PARTIES to draw practical conclusions from it in the case at hand. 5.7 The Panel then noted that Article X X I I I : 2 would give the C O N T R A C T I N G P A R T I E S essentially .two options in the present case if the embargo were found to have nullified or impaired benefits accruing to Nicaragua under the General Agreement independent of whether or not it was justified unter Article X X I . They could either (a) recommend that the United States withdraw the embargo (or, which would amount in the present case to the same, that the United States offer compensation) or (b) authorize Nicaragua to suspend the application of obligations under the General Agreement towards the United States. 5.8 As to the first of the above options the Panel noted the following: I t is clear from the drafting history that in case of recommendations on measures not found to be inconcistent w i t h the General Agreement, the contracting parties 'are under no specific and contractual obligations to accept those recommendations' (EPCT/A/PV/5, p. 16). The report of the Sixth Committee during the Havana Conference notes w i t h respect t o the power of the Executive Board to make recommendations to member States in any matter arising under Article 93:1 (b) or (c) of the Havana Charter (which corresponds t o Article X X I I I : 1 (b) and (c) of the General Agreement): ' I t was agreed that sub-paragraph . . . does not empower the Executive Board or the Conference t o require a Member t o suspend or withdraw a measure not in conflict w i t h the Charter'. The 1950 Working Party on the Australian Subsidy on Ammonium Sulphate took the same view as t o the powers of the C O N T R A C T I N G P A R T I E S (BISD Vol. 11/195). I n their 1982 Ministerial Declaration, the C O N T R A C T I N G P A R T I E S stated that the dispute settlement

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process could not 'add to or diminish the rights and obligations provided in the General Agreement (BISD 26S/16). 5.9 In the light of the above drafting history and decisions of the C O N T R A C T I N G P A R T I E S the Panel found that the United States, as long as the embargo was not found to be inconsistent w i t h the General Agreement, was under no obligation to follow a recommendation by the C O N T R A C T I N G PARTIES to remove the embargo. 5.10 The Panel noted that in the past cases under paragraph (b) of Article X X I I I : 1, the C O N T R A C T I N G P A R T I E S had recommended that the contracting party complained against consider ways and means to restore the competitive relationship that existed when the tariff concession was made (BISD Vol. 11/195 and BISD IS/31). However, the Panel also noted that these recommendations had been made only because they were considered to offer the best prospect of a mutually agreed settlement of the dispute The Panel noted that the United States had declared from the outset that it would not remove the embargo without a solution to the underlying political problem (paragraph 4.9 above). I t also noted that Nicaragua had recognized that 'it seemed unfortunately unlikely that the United States would accept a recommendation to lift the embargo' (paragraph 4.10 above). The Panel therefore considered that a decision of the C O N T R A C T I N G P A R T I E S under Article X X I I I : 2 recommending the withdrawal of the embargo would not seem to offer the best prospect of an adjustment of the matter satisfactory to both parties and that, in these circumstances, it would not appear to be appropriate for the C O N T R A C T I N G PARTIES to take such a decision unless they had found the embargo to be inconsistent w i t h the General Agreement. 5.11 The Panel then turned to the second option available to the C O N T R A C T I N G P A R T I E S under Article X X I I I : 2 in the present case, namely a decision to authorize Nicaragua to suspend the application of obligations to the United States. The Panel noted that, under the embargo imposed by the United States, not only imports from Nicaragua into the United States were prohibited but also exports from the United States to Nicaragua. In these circumstances, a suspension of obligations by Nicaragua towards the United States could not alter the balance of advantages accruing to the two contracting parties under the General Agreement in Nicaragua's favour. The Panel noted that the United States had stated that an authorization permitting Nicaragua to suspend obligations towards the United States 'would be of no consequence in the present case because the embargo had already cut off all trade relations between the United States and Nicaragua' (paragraph 4.9 above) and that Nicaragua had agreed that 'a recommendation by the Panel that Nicaragua be authorized to withdraw its concessions in respect of the United States would indeed be a meaningless step because of the two-way embargo' (paragraph 4.10 above). The Panel therefore had to conclude that, even if it were found that the embargo nullified or impaired benefits accruing to Nicaragua independent of whether or not it was justified under Article X X I , the C O N T R A C T I N G P A R T I E S could, in the circumstances of the present case, take no decision under Article X X I I I : 2 that would re-establish the balance of advantages which had accrued to Nicaragua under the General Agreement prior to the embargo. I n the light of the foregoing considerations the Panel decided not to propose a ruling in this case on the basic question of whether actions under Article X X I could nullify or impair G A T T benefits of the adversely affected contracting party."

Violation-Complaints

and Non-Violation

Complaints

12. Japan — Trade in Semi-Conductors In 1987, the EEC brought a complaint under Article X X I I I : 2 relating to certain aspects of a bilateral arrangement between Japan and the United States concerning trade in semi-conductor products. The Panel Report, adopted on 4 May 1988, noted the argument by the EEC that, even if the measures applied by the Japanese Government were considered to be consistent w i t h the General Agreement, "they nullified or impaired benefits accruing to the EEC under the General Agreement and impeded the attainment of the objectives of the General Agreement." 1 1 7 The Panel Report includes the following finding on this subsidiary "non-violation complaint": "The Panel had not found that the measures relating to the access to the Japanese market were inconsistent w i t h the provisions of the General Agreement. The Panel noted that the EEC had alleged that, even if the Japanese measures relating to exports and imports of semi-conductors were considered to be consistent w i t h the General Agreement, they nullified or impaired benefits accruing to the EEC under the General Agreement and impeded the attainment of objectives of the General Agreement within the meaning of Article X X I I I . According to the dispute settlement procedures adopted on 28 November 1979 (BISD 26S/216), a contracting party claiming that benefits accruing to it under the General Agreement had been nullified or impaired as a result of a measure consistent w i t h the General Agreement would be called upon to provide a detailed justification. The Panel considered that the evidence submitted by the EEC relating to access to the Japanese market did not permit it to identify any measure by the Japanese Government that put EEC exporters of semi-conductors at a competitive disadvantage vis-à-vis those of the United States and that might therefore nullify or impair benefits accruing to the EEC under the General Agreement and impede the attainment of objectives of the General Agreement within the meaning of Article X X I I I . " 1 1 8

13. EEC - Payments and Subsidies Paid to Processors and Producers of Oilseeds and Related Animal-Feed Proteins In 1988, the United States brought a complaint under Article X X I I I : 2 on the ground that certain payments by the EEC to processors and producers of oilseeds and related animal-feed proteins were inconsistent w i t h Article X X I I I and also "constitute a prima facie nullification and impairment of tariff concessions granted by the EC in 1962 pursuant to Article I I of the General Agreement." The Panel Report, adopted on 25 January 1990, found that the payments to processors of Community oilseeds were inconsistent with G A T T Article I I I : 4 because they exposed imported like products to a risk of discrimination and accorded therefore less favourable treatment. 1 1 9 As compliance with this finding on Article I I I would 117

BISD 35S/116, 151.

118

BISD 35S/161 f. BISD 37S/86, 125.

119

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not necessarily eliminate the basis of the USA's complaint that the grant of subsidies to EC producers of oilseeds had nullified or impaired benefits accruing to the USA under the EC's duty-free tariff bindings for oilseeds, the Panel examined this additional "non-violation complaint" as well. The Panel noted that "the provisions of Article X X I I I relating to the impairment of benefits accruing under the General Agreement . . . , as conceived by the drafters and applied by the C O N T R A C T I N G PARTIES, serve mainly to protect the balance of tariff concessions. The idea underlying them is that the improved competitive opportunities that can legitimately be expected from a tariff concession can be frustrated not only by measures proscribed by the General Agreement but also by measures consistent w i t h that Agreement. In order to encourage contracting parties to make tariff concessions they must therefore be given a right of redress when a reciprocal concession is impaired by another contracting party as a result of the application of any measure, whether or not it conflicts w i t h the General Agreement." 1 2 0 . . . "the main value of a tariff concession is that it provides an assurance of better market access through improved price competition. Contracting parties negotiate tariff concessions primarily to obtain that advantage. They must therefore be assumed to base their tariff negotiations on the expectation that the price effect of the tariff concessions will not be systematically offset. If no right of redress were given to them in such a case they would be reluctant to make tariff concessions and the General Agreement would no longer be useful as a legal framework for incorporating the results of trade negotiations." 1 2 1

For these reasons the Panel found "that the United States may be assumed not to have anticipated the introduction of subsidies which protect Community producers of oilseeds completely from the movement of prices for imports and thereby prevent tariff concessions from having any impact on the competitive relationship between domestic and imported oilseeds, and which have as one consequence that all domestically-produced oilseeds are disposed of in the internal market notwithstanding the availability of imports." 1 2 2

As the Panel found no evidence to rebut that assumption, it concluded in respect of the "non-violation complaint" that "benefits accruing to the United States under Article I I of the General Agreement in respect of the zero tariff bindings for oilseeds in the Community Schedule of Concessions were impaired as a result of the introduction of production subsidy schemes which operate to protect Community producers of oilseeds completely from the movement of prices of imports and thereby prevent the tariff concessions from having any impact on the competitive relationship between domestic and imported oilseeds. The Panel recommends that the C O N T R A C T I N G P A R T I E S suggest that the Community consider ways and means to eliminate the impairment of its tariff concessions for oilseeds." 123 120 121 122 123

Idem, Idem, Idem, BISD

27, paragraph 144. 128 f., paragraph 148. 129, paragraph 148. 37S/132, paragraph 156.

Violation-Complaints

and Non-Violation

Complaints

14. USA — Restrictions on the Importation of Sugar and Sugar-Containing Products Applied under the 1955 Waiver In June 1989, the G A T T Council established a Panel to examine a complaint by the EEC that restrictions applied by the USA on the importation of sugar and sugar-containing products under the Decision of the Contracting Parties of 5 March 1955 (the 'Waiver') and under the Headnote to the US Schedule of Tariff Concessions were inconsistent with G A T T Articles I I and X I and were not justified by the Waiver. The EEC further asked the Panel to find that the measures, whether or not covered by the Waiver, nullify or impair benefits accruing to the EEC under Articles I I and X I and to recommend, as a temporary measure, the grant of compensation by the US. In its Report, adopted on 7 November 1990, 124 the Panel noted that the quota on imports of raw and refined sugar imposed under the authority of the Headnote to the US Tariff Schedule had already been found to be inconsistent with the G A T T in another Panel Report adopted by the Contracting Parties, and that it had been agreed in the G A T T Council that the present Panel would not readdress the findings set out in that Panel Report. The Panel found, inter alia , that the quantitative limitations on imports of sugar-containing products were inconsistent w i t h G A T T Article X I : 1 but conformed to the terms, conditions and procedures of the Waiver granted in 1955 in accordance with Article X X V : 5 by the C O N T R A C T I N G PARTIES to the US in connection with import restrictions under Section 22 of the US Agricultural Adjustment Act. The Panel followed from this that, "since both Article X I : 1 and Article X X V : 5 form part of the General Agreement, the imposition of the restrictions in conformity with the waiver cannot constitute a 'failure of [the United States] to carry out its obligations under this Agreement' within the meaning of Article X X I I I : 1 (a)." 1 2 5 The Panel further found: "that the fact that the restrictions found to be inconsistent w i t h Article X I : 1 conform to the terms of the Waiver does not prevent the EEC from bringing a complaint under Article X X I I I : 1 (b) of the General Agreement but it is up to the EEC to demonstrate that a nullification or impairment of benefits accruing to it under the General Agreement has resulted from these restrictions." 1 2 6

The Panel recalled that, according to the 1979 Understanding on Dispute Settlement, a contracting party bringing a complaint under Article X X I I I : 1 (b) is "called upon to provide a detailed justification." The Panel was of the view that Article X X I I I : 1 (b), as conceived by the drafters and applied by the G A T T Contracting Parties, serves mainly to protect the balance of tariff concessions, even though Article X X I I I : 1 (b) does not exclude claims of nullification or 124 125 126

BISD 37S/228-263. BISD 37S/260, paragraph 5.18. Idem, paragraph 5.20.

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impairment based on G A T T provisions other than Article II. As the EEC had neither claimed that benefits accruing to it under a tariff concession made by the US in accordance with Article I I had been nullified or impaired as the result of measures taken under the Waiver, nor provided the required justification for its claim that the alleged nullification or impairment entitled the EEC to compensation by the US, the Panel concluded "that the EEC had not provided the detailed justification necessary to permit the examination of its complaint in the light of Article X X I I I : 1 (b) but that the EEC is not precluded from bringing a complaint under that provision w i t h the required detailed justification." 1 2 7

IV. The Functions and the Future of Non-Violation Complaints in G A T T G A T T dispute settlement practice over more than 40 years indicates that the G A T T Contracting Parties exercised their broad jurisdiction for the settlement of disputes under Article X X I I I cautiously and less broadly than it was conceived. Only two of the altogether six different types of complaints admissible under Article X X I I I have been actively used. Virtually all complaints alleged a "nullification or impairment" of a "benefit accruing under this Agreement" in the sense of Article X X I I I : 1. In the very few cases where it was also contended "that the attainment of any objective of the Agreement is being impeded" (Article X X I I I : 1), this complaint was either not pursued (see case 10 above) or was not considered by the Panel since "no detailed submission had been made as to exactly . . . which objective of the General Agreement had been impeded." 1 2 8 The large number of violation complaints brought under Article X X I I I has given rise to a comprehensive jurisprudence which, by means of agreed interpretations of G A T T rules, has contributed to the clarification of G A T T law and of the procedural conditions of this kind of complaint. Due to the infrequent use of the G A T T Contracting Parties' "equity law jurisdiction" for non-violation complaints under Article X X I I I : 2, the legal conditions and functions of this rather unique type of complaint and legal remedy were clarified through agreed "equity rules" only in the field of nullification or impairment of tariff concessions; but they continue to be controversial in other fields of G A T T law and are currently under negotiation in the Uruguay Round of multilateral trade negotiations in G A T T . " Situation complaints " under Article X X I I I : 1 (c) seem to have fallen into disuse since their original objective can be pursued more properly in the context of other G A T T provisions such as Articles X V I I I , X X I V , X X V or X X V I I I . 127

BISD 37S/263, paragraph 6.3. See the Panel Report, adopted on 6 November 1979, on "EC-Refunds on Exports of Sugar" in: BISD 26S/290, 319. 128

Violation-Complaints

and Non-Violation

Complaints

1. Frequent Use of Violation Complaints (Article XXIII: 1, a) to Enforce GATT Rules About ninety percent of the more than 150 formal complaints raised under Article X X I I I have been violation complaints in which the complainant requested a ruling by the G A T T Contracting Parties on the inconsistency with G A T T of a specified trade measure and on the legal obligation to terminate the measure concerned and to bring it into conformity w i t h G A T T law. The legally binding "rulings" and "declaratory judgments" made under Article X X I I I : 2 have made clear, inter alia , that: — all G A T T rules can be invoked in G A T T dispute settlement proceedings and are "justiciable" under Article X X I I I notwithstanding certain special review procedures (e. g. in Article X X V I : 7) and agreed "rule departures" in certain areas (such as textiles, voluntary export restraints) which have induced contracting parties not to invoke Article X X I I I against certain "grey area trade measures"; — " i t is not the mandate of panels established under Article X X I I I : 2 to propose changes in G A T T provisions, but to make findings regarding the interpretation and application of the existing provisions"; 1 2 9 — in interpreting G A T T rules, G A T T panel reports take into account previous dispute settlement rulings and agreed G A T T practice, and thereby enhance the predictability and acceptability of G A T T law; — " C O N T R A C T I N G PARTIES have consistently interpreted the basic provisions of the General Agreement on restrictive trade measures as provisions establishing conditions of competition" 1 3 0 so that an infringement of G A T T obligations entailing a potentially adverse change in the competitive conditions is considered to constitute a prima facie case of nullification or impairment without a need to show a decline in the volume of trade ("trade damage"); — the primary function of violation complaints is to secure compliance with G A T T obligations by a legally binding, collective ruling of the G A T T Contracting Parties on the disputed meaning of the G A T T rule concerned and on the legal obligation to bring the offending measure into conformity with G A T T law; — the legal requirements of violation complaints and non-violation complaints differ e. g. as regards the treaty benefits invoked, the burden of proof for their "nullification or impairment," and the legitimacy of "resonable expectations"; 129

Quoted from the findings of the Panel Report, adopted on 7 November 1990, on "USRestrictions on the Importation of Sugar" in: BISD 37S/228, 259 (with references to other panel reports). Only in exceptional cases have panels recommended e. g. the granting of a "waiver" (see BISD 18S/33, 183). 130 Quoted from the Panel Report, adopted on 25 January 1990, on " E E C — Payments and Subsidies Paid to Processors and Producers of Oilseeds" in: BISD 37S/86, 130.

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— the range of legal remedies and countermeasures in violation complaints (/. e. legally binding rulings, cessation of unlawful measures, reimbursement of unlawful antidumping and countervailing duties, discriminatory reprisals) is broader than in case of non-violation complaints (i. e. recommendations and authorizations of a non-discriminatory withdrawal of equivalent concessions).

2. Infrequent Use of Non-Violation Complaints ( Article XXIII: 1, b) to Restore an Agreed Balance of Reciprocal Concessions O u t of fourteen non-violation complaints raised under Article X X I I I , only four (cases 2, 3, 4 and 13 above) led to the adoption by the G A T T Contracting Parties of panel reports finding that competitive benefits, which the complainant could reasonably expect under agreed tariff concessions, had been nullified or impaired by unforeseen trade measures that as such did not violate G A T T law. 1 3 1 Two panel reports (cases 8 and 9) led to findings of "non-violation impairment of benefits" which, even though not adopted by the G A T T Contracting Parties, were used by the parties to the dispute as a basis for their bilaterally agreed dispute settlement. The other non-violation complaints were not pursued by the complaining party (e. g. cases 5 and 7) or by the Panel because e. g. the parties agreed on a bilateral dispute settlement (case 1), the offending measure was found to violate G A T T law (case 6), the Panel did not find it appropriate to propose a ruling on the issue (case 11), or the complainant failed to submit sufficient evidence to the Panel that benefits accruing under the G A T T had been nullified or impaired (cases 5, 12 and 14). The panel reports adopted by the G A T T Contracting Parties have specified the functions, conditions and remedies of non-violation complaints and elaborated a number of agreed "equity rules" and equitable presumptions for non-violation complaints. Thus it has been found that: — "Article X X I I I : 1 (b), as conceived by the drafters and applied by the C O N T R A C T I N G PARTIES, serves mainly to protect the balance of tariff concessions"; 1 3 2 131 I n the dispute over the EEC's payments to processors and producers of oilseeds, the U S A and the Panel Report carefully distinguished between the inconsistency w i t h Article I I I of the payments received by the processors of oilseeds, and the impairment of benefits under Article I I as a result of the payments received by the producers of oilseeds, see: BISD 37S/86, 126 ("The finding of the Panel under Article I I I : 4 does not relate to the benefits accruing to the Community producers under the Community subsidy schemes but only to the benefits accruing t o processors"). The potentially small portion of the payments received by the processors when they bought domestic oilseeds constituted the violation of Article I I I : 4, and the bulk of the payments received by the producers constituted the impairment of the tariff concessions. 132

See case 14 above, BISD 37S/228, 261.

Violation-Complaints

and Non-Violation

Complaints

— "The party bringing a complaint under that provision would normally be expected to explain in detail that benefits accruing to it under a tariff concession have been nullified or impaired"; 1 3 3 — "a contracting party which has negotiated a concession under Article I I may be assumed, for the purpose of Article X X I I I , to have a reasonable expectation, failing evidence to the contrary, that the value of the concession will not be nullified or impaired by the contracting party which granted the concession by the subsequent introduction or increase of a domestic subsidy on the product concerned"; 134 — tariff concessions might also be nullified or impaired by the unforeseen discontinuance of a policy of parallel subsidies on two competing products (case 2 above), by the unforeseen termination of a longstanding system of equal treatment of two competing products in respect of tariff rates, tax rates and quantitative restrictions (case 3 above), or even by "promises" to negotiate on progressive tariff reductions even if the "promises" had not been made part of the schedule of concessions (case 4 above); — just as G A T T Articles I I , X X V I I I apply not only to tariff concessions but also to concessions made in the area of non-tariff measures to the extent that these have been entered into a contracting party's schedule of concessions, "Article X X I I I : 1 (b) does not exclude claims of nullification or impairment based on provisions of the General Agreement other than Article I I " ; 1 3 5 — " I n the past Article X X I I I : 1 (b) cases, . . . findings of nullification or impairment were based on a finding that the products for which a tariff concession had been granted were subjected to an adverse change in competitive conditions. In none of these cases did [the C O N T R A C T I N G PARTIES] consider the trade impact of the change in competitive conditions to be determining"; 1 3 6 — "The C O N T R A C T I N G PARTIES have decided that a finding of impairment does not authorize them to request the impairing contracting party to remove a measure not inconsistent with the General Agreement; such a finding merely allows the contracting party frustrated in its expectation to request, in accordance w i t h Article X X I I I : 2, an authorization to suspend the application of concessions or other obligations under the General Agreement. The recognition of the legitimacy of an expectation thus essentially means the recognition of the legitimacy of such a request. The recognition of the legitimacy of an expectation relating to the use of production subsidies therefore in no way prevents a contracting party from using production subsidies consistently w i t h 133

Idem, BISD 37S/261. Working Party Report, adopted on 3 March 1955, on "Other Barriers to Trade" in: BISD 3S/222, 224. See also case 13 above, BISD 36S/86, 128 f. 134

135 136

Case 14 above, BISD 37S/262. Case 13 above, BISD 37S/130.

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the General Agreement; it merely delineates the scope of the protection of a negotiated balance of concessions;" 137 — the impairing country is not legally obliged to implement a recommendation made under Article X X I I I : 2 to remove the measure upsetting the competitive conditions or to grant compensation; the ultimate power of the C O N T R A C T I N G PARTIES under Article X X I I I : 2 is to authorize the adversely affected contracting party or parties to suspend equivalent concessions towards the impairing country. G A T T practice relating to non-violation complaints thus reflects a trend similar to the dispute settlement provisions of other, more recent international trade agreements such as Article 93 of the 1948 Havana Charter for an International Trade Organization, Article 31 of the 1960 E F T A Agreement or Article 2011 of the 1988 Canada-USA Free Trade Agreement, namely to limit and define more precisely the scope of non-violation complaints. The unclear rationale e. g. of the panel findings on "German import duties on starch" (case 4 above), the controversies about the "Citrus Panel Case" which was rightly not adopted (case 9 above), the current Uruguay Round negotiations on the "binding" of non-tariff trade barriers and their inclusion into the "schedules of concessions" illustrate that the legal conditions of non-violation complaints, and the vague legal concepts of "benefits accruing under G A T T " and "balance of reciprocal concessions," require further clarification especially in case of non-violation complaints outside the area of tariff benefits and tariff negotiations. The "Citrus Panel report" was the only panel report which did not base its non-violation finding on Article I I ; but its finding that "the balance of rights and obligations underlying Articles I and X X I V of the General Agreement had been upset to the disadvantage of the contracting parties not parties to these agreements," lacked a convincing legal rationale and was rightly rejected in the G A T T Council. Articles 8:3 and 11:2 of the 1979 Agreement on Interpretation and Application of Articles V I , X V I and X X I I I also recognize that production subsidies, even though permitted under G A T T Article X V I and Subsidy Code Article 11:1, may nullify or impair benefits other than tariff benefits accruing to another signatory under the General Agreement. 138 But also the Subsidy Code gives no precise guidelines on the legal criteria for the adjudication of such non-violation complaints. The starting point for a further clarification of the legitimate scope of nonviolation complaints in international trade law must be their original rationale, namely to protect contracting parties against certain circumventions of reciprocally agreed concessions by the subsequent, unforeseen introduction of trade measures which impair the commercial opportunities and competitive conditions that could be reasonably expected under the previously agreed concessions. Whereas 137 138

Case 13 above, BISD 37S/129. See: The Texts of the Tokyo Round Agreements, G A T T , 1986, 63, 66.

Violation-Complaints

and Non-Violation

Complaints

violation complaints serve to enforce compliance w i t h the rules of conduct of G A T T as a worldwide trade agreement, non-violation complaints relate to the different function of G A T T as a forum for negotiations and presuppose some particular "reliance-inducing conduct," such as the granting of a tariff concession or the non-fulfilment of the " t w o promises" identified by the Panel on German Starch Duties. The three conditions established by G A T T panels for a successful non-violation complaint under Article X X I I I : 1 (b) — that (1) a tariff concession was negotiated; (2) a governmental measure, not inconsistent w i t h G A T T , had been introduced subsequently which upset the competitive relationship between the bound product and directly competitive products from other origins; and (3) the measure could not have been reasonably anticipated by the party to whom the binding was made at the time of the negotiation of the tariff concession — further suggest that non-violation complaints are based on broader legal principles of effectiveness ("effet utile") of concessions, reciprocity and bona fide protection of "reasonable expectations." Just as in the Vienna Convention on the Law of Treaties it is recognized that every treaty must be performed in good faith (Article 26) and signatory states must refrain from acts calculated to frustrate the object of a treaty (Article 18), the G A T T rules on the maintenance or restoration of an agreed balance of reciprocal concessions are but an expression of the international law principle of good faith. As emphasized by the "Oilseeds Panel" (case 13 above), if no right of redress were given to contracting parties in case of impairment of agreed concessions "they would be reluctant to make tariff concessions and the General Agreement would no longer be useful as a legal framework for incorporating the results of trade negotiations." 1 3 9 The case-law also of the EC Court of Justice concerning the legal protection of "legitimate expectations" 1 4 0 confirms that such legal protection is a sign of a comprehensive legal and institutional framework justifying the expectation of the continuance of a particular pattern of regulation. But an important feature of G A T T ' s 'good faith rules' on non-violation complaints is that they do not limit the exercise of the various " G A T T freedoms" (e. g. to grant production subsidies) by prohibiting an "abuse of r i g h t . " 1 4 1 Their function is rather to 139

Case 13 above, BISD 37S/129. See: Eleanor Sharpston , Legitimate Expectations and Economic Reality, in: European Law Reports 1990, pp. 103-160. Unlike the case-law in G A T T , the EC case-law concerns legitimate expectations of private traders or producers which acted on certain "reasonable expectations," and pivots around the question of what changes could be foreseen by a "prudent trader." 141 The potential function of the good faith principle to prevent the abuse of a legal right was demonstrated in the Advisory Opinion by the International Court of Justice on "Conditions of Admission of a State to Membership in the U N , " ICJ Reports 1947/48, 57119. In the field of international trade law see, e. g., the case of France's evasion of her treaty obligations to maintain customs free zones w i t h Switzerland under the guise of policy controls the border: The Free Zones Case, P.C.I.J. 1932 Ser. A/B 46, 167. 140

15 GYIL 34

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reconcile the co-existence of several G A T T rights and to prevent the circumvention of the provisions in G A T T Article X X V I I I on "Modification of Schedules" if a contracting party, rather than withdrawing a concession de jure in exchange for compensation or equivalent withdrawals of concessions by affected contracting parties, withdraws a concession de facto . G A T T practice and the foregoing considerations suggest that trade benefits can serve as a basis for non-violation complaints under Article X X I I I : 1 (b) only if they have been agreed upon in the context of G A T T negotiations and go beyond the general framework of G A T T rights and obligations. Only agreed reciprocal commitments to grant favourable market access conditions, such as a tariff binding under Article I I , may justify a reasonable expectation that a country will refrain from introducing tariffs or other safeguard measures under the general G A T T rules. Yet, just as Article X X V I I I entitles each contracting party to renegotiate and withdraw its concessions subject to certain procedural requirements and "compensatory adjustments" (either in the form of compensatory trade liberalization or compensatory withdrawals of "substantially equivalent concessions initially negotiated w i t h the applicant contracting party"), the G A T T rules on nonviolation complaints rightly recognize the various " G A T T freedoms" of contracting parties to introduce trade measures not prohibited by G A T T even if they nullify or impair the competitive benefits of previous trade concessions. In the Oilseeds Case, for instance (case 13 above), the nullification or impairment of the tariff concession on oilseeds did not violate any G A T T obligations (e. g. a bona fide obligation flowing from the tariff binding). I t only gave rise to rights under Article X X I I I : 1 (b) to compensatory adjustments. Similar to formal withdrawals of concessions under Article X X V I I I , such rights to "compensatory adjustments" should be recognized in the context of Article X X I I I : 1 (b) only in case of de facto withdrawals of reciprocal commitments which adversely affect the conditions of trade competition that could be reasonably expected. Since Article X X I I I : 1 (b) supplements Article X X V I I I and serves to prevent its circumvention, it would seem reasonable to apply the principles and procedures of Article X X V I I I mutatis mutandis also in the context of Article X X I I I : 1 (b) and to limit the "secondary" G A T T rights and obligations in case of "non-violation nullification or impairment of benefits" to those available in the context of Article X X V I I I . For instance, the C O N T R A C T I N G PARTIES should authorize the suspension of concessions under Article X X I I I : 1 (b), 2 only on an erga omnes basis, and they should leave it in the first instance to the disputant parties to reach agreement on what are "substantially equivalent concessions" (Article X X V I I I : 3).

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3. Desuetude of "Situation Complaints 3 (. Article XXIII:

1, c)

During the drafting of Article X X I I I it was said that Article X X I I I was designed to protect "a careful balance of the interests of the contracting parties/' and that "this balance rests upon certain assumptions as to the character of the underlying situation in the years to come." Concern was expressed that employment, development and other economic problems might arise — such as a worldwide recession, a shortage of a particular currency, widespread balance-of-payments difficulties or commodity price fluctuations — which could not be adequately dealt w i t h under the specific G A T T exception clauses. Article X X I I I : 1 (c) was conceived as a sort of general escape clause and "clausula rebus sic stantibus " to enable the C O N T R A C T I N G PARTIES to adjust their mutual rights and obligations to such fundamental changes of the circumstances prevailing in 1947. 142 Yet, over the past forty years, the C O N T R A C T I N G PARTIES have never based any ruling or recommendation on Article X X I I I : 1 (c). And, more than forty years after the negotiation of the G A T T , the "reasonable expectations" of some drafters and their perceptions of the "balance-of-interests" no longer provide appropriate, justiciable standards of review. While violation complaints serve an important function for the effectiveness of G A T T as a worldwide code of conduct and non-violation complaints strengthen G A T T as a negotiating forum for reciprocal trade concessions, situation complaints are no longer an appropriate instrument for adjusting the G A T T framework or rights and obligations. Various G A T T Articles explicitly request the C O N T R A C T I N G PARTIES to "review the operation of the provisions of this Article from time to time with a view to examining its effectiveness, in the light of actual experience, in promoting the objectives of this Agreement" (Article X V I : 5). Article X X V : 1 enjoins "the contracting parties (to) meet from time to time for the purpose of giving effect to those provisions of this Agreement which involve joint action and, generally, with a view to facilitating the operation and furthering the objectives of this Agreement." G A T T ' s numerous safeguards and exceptions clauses and the broad "waiver power" in Article X X V : 5 offer additional legal bases for adjusting the G A T T rights and obligations to particular circumstances. Moreover, over the past forty years the G A T T legal system has progressively evolved into a much more complex legal system based on some two hundred trade agreements concluded in the context of G A T T . Given the fundamental differences between the G A T T of today and the G A T T of 1947, the G A T T contracting parties were wise not to invoke Article X X I I I : 1 (c) to complain about "the existence of any other situation" (Article X X I I I : 1, c) and not to make dispute settlement rulings on such an inadequate legal basis. 142

O n the drafting history of Article X X I I I and the originally very broad concept of "benefits" in the sense of Article X X I I I see: Petersmann (note 8 above), Article X X I I I , 4 ff., 13 ff.

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Petersmann on Non-Violation

Complaints

Widespread concern at what the Nicaragua Panel Report (case 11 above) referred to as the "basic interpretative issues relating to the concept of non-violation nullification and impairment which had neither been addressed by the drafters of the G A T T nor decided by the C O N T R A C T I N G PARTIES," and the openended character of Article X X I I I : 1 (b) and (c) prompted the EEC and other G A T T contracting parties to propose additional limitations on non-violation complaints in the current Uruguay Round of multilateral trade negotiations. One proposal is to explicitly limit the admissibility of non-violation complaints to narrowly defined cases of circumvention of G A T T obligations or frustration of specific G A T T concessions, and to state explicitly in the G A T T dispute settlement procedures that there is no obligation to withdraw or modify lawful measures if they were found to nullify or impair benefits accruing under the G A T T . Another proposal is that Council decisions on non-violation and situation complaints shall be taken by consensus rather than by majority vote (as possible under Articles X X I I I : 2, X X V : 4) with the exception of Council decisions on non-violation complaints related to concessions bound under Article I I of G A T T . Still another proposal is that, if the parties to the dispute cannot mutually agree on the implementation of Council recommendations under Article X X I I I : 2 on matters raised under Article X X I I I : 1 (b) or (c), the "reasonable period of time for implementation" and the value of benefits nullified or impaired shall be determined through binding arbitration within 90 days following adoption of the panel report. A common concern behind these and other reform proposals is to strengthen the "rule-oriented" character of the G A T T dispute settlement process. This is an important policy objective, for the importance of G A T T as a worldwide legal framework for the conduct of trade policies and as a worldwide trade organization and forum for the settlement of trade disputes will further increase if the about thirty Draft Uruguay Round Agreements currently under negotiation in G A T T should enter into effect.

ANNEX

Text of Article X X I I I (BISD IV/39) Nullification or Impairment 1. If any contracting party should consider that any benefit accruing to it directly or indirectly under this Agreement is being nullified or impaired or that the attainment of any objective of the Agreement is being impeded as the result of:

Violation-Complaints

and Non-Violation

Complaints

(a) the failure of another contracting party to carry out its obligations under this Agreement, or (b) the application by another contracting party of any measure, whether or not it conflicts with the provisions of this Agreement, or (c) the existence of any other situation, the contracting party may, with a view to the satisfactory adjustment of the matter, make written representations or proposals to the other contracting party or parties which it considers to be concerned. Any contracting party thus approached shall give sympathetic consideration to the representations or proposals made to it. 2. If no satisfactory adjustment is effected between the contracting parties concerned within a reasonable time, or if the difficulty is of the type described in paragraph 1 (c) of this Article, the matter may be referred to the C O N T R A C T I N G PARTIES. The C O N T R A C T I N G PARTIES shall promptly investigate any matter so referred to them and shall make appropriate recommendations to the contracting parties which they consider to be concerned, or give a ruling on the matter, as appropriate. The C O N T R A C T I N G PARTIES may consult with contracting parties, w i t h the Economic and Social Council of the United Nations and w i t h any appropriate intergovernmental organization in cases where they consider such consultation necessary. If the C O N T R A C T I N G PARTIES consider that the circumstances are serious enough to justify such action, they may authorize a contracting party or parties to suspend the application to any other contracting party or parties of such concessions or other obligations under this Agreement as they determine to be appropriate in the circumstances. If the application to any contracting party of any concession or other obligation is in fact suspended, that contracting party shall then be free, not later than sixty days after such action is taken, to give written notice to the Executive Secretary"" to the C O N T R A C T I N G PARTIES of its intention to withdraw from this Agreement and such withdrawal shall take effect upon the sixtieth day following the day on which such notice is received by him.

* See Preface to BISD Vol. IV.

The Law-Implementing Functions of International Economic Organizations By Sergei A . Voitovich

I. Introduction H o w efficiently a legal system works is best noted in the manner in which its normative provisions are transformed into practice. In this sense, one cannot be completely satisfied w i t h the state of the international legal rules' implementation in the economic field. 1 O n the one hand, there are certain factors encouraging the proper realization of the norms of international economic law (IEL). 2 First, there is a high degree of reciprocity in economic co-operation, when one party's noncompliance w i t h its obligations deprives it of the corresponding benefits promised by another party. Hence, reciprocity and mutual benefit are rightly considered the best guarantees for the proper observance of international obligations. Among the other positive factors of effective implementation are the clear and detailed manner in which many norms of I E L are formulated; the quick renovation of rules in accordance w i t h rapidly changing practical needs; and the recourse to special institutional means of law enforcement. Yet, the state of the I E L rules' implementation should not be overestimated. Breaches of law occur all too often. Dozens of claims and disputes relating to noncompliance w i t h treaty obligations are considered each year. These negative experiences of the international economic order are primarily caused by certain socio-economic factors, firstly, by the conflicts of economic interests of the interacting States, which seem, unfortunately, inevitable in the present-day international economic life. (Even in a rather homogenous integration system, like the EEC, disputes are not a rarity.) Secondly, breaches of law may occur when 1

W i t h o u t going into the details of the terminological dispute on the use of terms "implementation", "realization", "execution", "enforcement", "application", etc., in this paper implementation is considered in a broad sense, as the stage of international legal process at which the subjects apply the whole complex of institutional, norm-making, supervisory and law-enforcing means in order to ensure the proper and timely realization of international legal rules. (See more details on the concept of implementation in: A. S. Gaverdovskij , The Implementation of International Legal Norms, Kiev 1980, 47-62 (in Russian). 2 A list of the acronyms used in this paper is attached as an Annex.

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economic benefits are sacrificed to political pressure. (This was quite a typical practice during the Cold War period.) A n d finally, the shortcomings of legal technique in both law-making and law enforcement should also be borne in mind. Therefore, the problem of implementation in I E L has numerous facets. I n this paper only one of them shall be tackled — what the law-implementing facilities of the international economic organizations (IEOs) are and in what manner these are applied. This analysis covers the main law-executing functions discharged by IEOs. These are: (1) interpretation; (2) subsequent rule-making; (3) supervisory and executive functions; (4) dispute resolution; and (5) sanctioning.

I I . Interpretation Interpretation, ί e. finding the proper meaning of a norm, is an indispensable stage of its implementation. Even the rules which are well formulated are to be uniformly understood by their addressees, since the drafters cannot foresee all the possible de facto situations covered by the norms they produce. Moreover, the norms with unclear wordings (either because of the lack of a clear agreement between the parties, or due to the fault of the drafters) are unable to function without official interpretation. I n the latter case interpretation generates both norm-making and norm-executing effects. Which rules may be interpreted by the IEOs' organs? First of all, the provisions of the constituent instruments, the treaties with their participation, as well as their own normative acts fall into this category. This is presumed in all IEOs, although only a few of their statutory acts contain special provisions on interpretation. A n elaborate interpretation procedure is laid down by the Articles of Agreement of the IMF. Under A r t . X X I X , "any question of interpretation of the provisions of this Agreement arising between any member and the fund or between any members of the Fund shall be submitted to the Executive Board for its decision". W i t h i n three months from the date of such a decision, any member may require that the question be referred to the Board of Governors, whose decision shall be final. The Board of Governors establishes the Committee on Interpretation, whose decision shall be the decision of the Board, unless the latter decides otherwise. Pending the result of the reference to the Board of Governors, the Fund may, so far as it deems necessary, act on the basis of the decision of the Executive Board. Apart from this, A r t . X X X gives an explanation of some terms used in the Agreement. I t is important to note that the interpretations given by the Fund have been recognized in the courts of the Member States. For example, the U.S. courts took the position that they cannot review such interpretations. 3 3 See Palitha T. B. Kohona , The Regulation of International Economic Relations Through Law, Dordrecht / Boston / Lancaster 1985, 200.

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A similar, though somewhat simplified scheme of implementation follows from the statutory acts of the I B R D , the I F C and the I D A . The only difference, in comparison to the Fund, is the absence of a special committee on interpretation. 4 In some regional integrational organizations the interpretative function is performed by the permanent judicial organs (the Court of Justice of the EEC, the Tribunal in the E C O W A S , the Court of Justice of the ECCAS, the Court of Justice of the Cartagena Agreement, the Tribunal of the PTA). The statutory acts of some other IEOs provide that the question of interpretation is within the competence of either supreme (e. g. the I T P A 5 ) , or both supreme and executive organs (e. g. the OPEC Fund for International Development 6 ). A special subsidiary organ dealing with interpretation may be also established (e. g. the F A O Committee on Constitutional and Legal Matters 7 ). Is an interpretation by a policy-making organ or a specialized judicial body preferable? The answer depends upon the subject-matter and the parties concerned w i t h such interpretation. A policy-making organ, being less formalized, more operative, and, what is of utmost importance, more receptive to the changing circumstances, may be more useful for the interpretation of the provisions relating to the current activities of the I E O . In disputes over interpretation between an I E O and a Member State a more independent judicial body is, undoubtedly, more appropriate. 8 I n some cases, the drafters of the IEOs' documents strive to explain the meaning of certain applicable terms in advance, in order to prevent interpretation disputes. 9 4 For more details on the interpretation in the IMF, I B R D and I F C during the early period of their activities see in: Ervin P. Hexner , Interpretation by Public International Organizations of Their Basic Instruments, in: American Journal of International Law 53 (1959), 341-370. 5

Under A r t . 16 of the Agreement Establishing the I T P A , "in the event of any question of interpretation of any clause of this Agreement arising, the matter shall be referred to the Governing Board of the Association whose decisions shall be final and binding on all parties". 6 A r t . 12 of the Agreement Establishing the Fund says: " A n y question of interpretation of the provisions of this Agreement, or any dispute between the Members of the Fund or between an Executing National Agency and the Fund shall be settled by the Governing Board and failing this by the Ministerial Council". 7

Under Rule X X X I V of the General Rules of the Organization, this Committee "shall consider specific items referred to it by the Council or the Director-General which may arise out of: (a) application or interpretation of the Constitution, these Rules and the Financial Regulations or amendments thereto; (b) the formulation, adoption, entry into force and interpretation of multilateral conventions and agreements concluded under Article X I V of the Constitution; (c) the formulation, adoption, entry into force and interpretation of agreements to which the Organization is a party under Articles X I I I and X V of the Constitution . . . " 8 See Henry G. Schermers , International Institutional Law, 2d ed., Alphen aan den Rijn 1980, 671.

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Much interpretative work of this kind is carried out in G A T T , 1 0 although the text of the General Agreement has no special provisions on this matter. Taking into account the flexibility of many G A T T rules, the interpretation of a number of terms and expressions is given in Annex 1 to the General Agreement. Serious attention is paid to interpretation in the Tokyo Round Agreements. Some of them contain comprehensive interpreting annexes (e. g. the Standards Code, the Customs Valuation Code), others separate explanatory articles and notes (e. g. the Agreement on Government Procurement, the Subsidies Code, the Agreement on Import Licensing Procedures, the Anti-Dumping Code). However, as J. H. Jackson writes, "whether those codes can influence the G A T T interpretation for Contracting Parties, which do not accept the codes is not yet clear". 11 Therefore, the normative acts of some IEOs provide for both pre-interpretation of the applicable terms and subsequent interpretative procedures in the course of the rules' implementation. This is typical mainly for the IEOs focussing upon intensive rule-making. I n such IEOs it is preferable to establish special judicial or quasi-judicial organs dealing with interpretation. I n the other organizations with a limited scope and intensity of law-making, it may be sufficient to outline the interpreting competence of the supreme or executive organs consulted by the legal experts. I I I . Subsequent Rule-Making In a broad sense, all the IEOs' norm-making activities have certain implementing effects promoting the achievement of the purpose fixed in the statutory acts. But here we limit the scope of the study to the subsequent rule-making, i. e. the creation of special rules facilitating the proper implementation of the previously adopted acts. 1.1. Lukashuk uses the term "implementational international legal norms" for this purpose. 12 Subsequent rule-making may be necessary for two reasons (1) to concretize and specify the general norms in order to ensure their adequate application; and (2) to adapt the previously created norms to the newly emerging circumstances either developing or amending them. 9 See e. g. the Convention Establishing the E F T A , the O E C D Rules of Procedure, the Appendix to the Decision of the O E C D Council Establishing a Multilateral Consultation and Surveillance Mechanism for Sea Dumping of Radioactive Waste of 1977, the O E C D Council Decision-Recommendation on Exports of Hazardous Wastes from the O E C D Area of 1986, the F A O Conference Resolution 4/89 "Agreed Interpretation of the International Undertaking", etc. 10

See some examples in: Robert E. Hudec , The G A T T Legal System and W o r l d Trade Diplomacy, New York / Washington / London 1975, 100-143. 11 John H. Jackson , Restructuring the G A T T System, London 1990, 57. 12 Igor I. Lukashuk , International Organizations and the Functioning of the International Law, in: Indian Journal of International Law 24 (1984), 76 ff.

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More often than not the rules of the IEOs' normative acts are formulated as the guidelines or general principles for co-operation which cannot be executed otherwise than through the elaboration of concrete methods and forms of interaction. 13 A typical example is the Joint E E C - C M E A Declaration of 1988 which presumes the conclusion of the more specified agreements between the EEC and the Member States of the C M E A (some agreements have already been concluded). A number of IEOs' normative acts explicitly provide the ensuing norm-making for their implementation. Thus, the O E C D Council in one of its acts "recommends that, to implement this Decision, member countries should . . . seek to conclude bilateral and multilateral agreements w i t h non-member countries to which frequent exports of hazardous wastes are taking place or are foreseen to take place". 14 Article 9 of the Agreement between the F A O and the U N I D O of 1989 states: "The Directors-General of F A O and U N I D O may enter into such arrangements for the implementation of this Agreement as may be found desirable in the light of the operating experience of the two Organizations". 15 From the standpoint of the legal technique of implementation, the most interesting acts are those determining the special implementation mechanisms for previously created norms. Such are those agreements of the Tokyo-Round, which were concluded with the purpose of interpretation, specification and implementation of certain provisions of the General Agreement. H o w the strengthening of the norm-executing effect is achieved may be found in the example of the AntiDumping Code. Article I V of the General Agreement provides a definition of dumping, by which products of one country are introduced into the commerce of another country at less than their normal value. 16 In order to offset and/or prevent dumping, a contracting party may levy on any dumped product an anti-dumping duty not greater in amount than the margin of dumping in respect of such products (i. e. the price difference). As follows from the preamble of the Anti-Dumping Code, one of its purposes is " t o interpret the provisions of Article V I of the General Agreement . . . and to 13

See V. I. Suvorova , Concretization as the Means of Ensuring the Efficient Realization of International Legal Norms, in: The Problems of Universality and Efficiency of International Law, Sverdlovsk 1981 (in Russian). 14

International Legal Materials ( I L M ) 25 (1986), 1010-1013. See Report of the Conference of F A O . Twenty-fifth Session. Rome, 1-29 November 1989, Appendix H . 16 "For the purpose of this Article, a product is to be considered as being introduced into the commerce of any importing country at less than its normal value, if the price of the product exported from one country to another (a) is less than the comparable price, in the ordinary course of trade, for the like product when destined for consumption in the exporting country, or, (b) in the absence of such domestic price, is less than either (i) the highest comparable price for the like product for export to any third country in the ordinary course of trade, or (ii) the cost of production of the product in the country of origin plus a reasonable addition for selling cost and profit". 15

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elaborate rules for their application in order to provide greater uniformity and certainty in their implementation". I n connection with this, the Code gives a detailed explanation of the terms "like product", "comparable price", "domestic industry" used in Article V I ; and defines determination of injury, the order of investigation of any alleged dumping, price undertakings, imposition and duration of anti-dumping duties, provisional measures, etc. A widely spread form of norm-executing rule-making is the adoption of a normative act amending or revising a previous obsolete decision of the organization. For example, the Commission of the Andean Group is explicitly empowered to "evaluate every three years the integration process and, whenever it may be necessary, modify the terms contemplated in the distinct mechanisms of this Agreement as well as revise or update the norms with respect to which it has competent jurisdiction" (Art. 7 of the Cartagena Agreement). I n 1987 the Commission took Decision Ν 220 on the Common Foreign Investment and Technology Licensing Code revising its foreign investment code which was introduced by Decision Ν 24 (1971). Decision 220 accepted the de facto situation that the Member Countries were not observing the provisions of the common policy established by Decision 24, because it was not deemed to be in their respective national interests. 17 Subsequent revisory rule-making may have the most far-reaching consequences if the Member States conclude that the I E O does not cope with its statutory tasks. I n that case a decision on the radical revision of its statute, right up to its reorganization, may be taken. The latter happened with the W A C U which was established in 1966. In 1970 the heads of the Member States, having recognized its unsatisfactory functioning, adopted a protocol substituting the W A C U for a new organization — the West African Economic Community. Here, the Member States' decision had more than norm-executing purpose, though it was caused by a failure in the implementation of the constituent instruments. This decision revised the overall institutional basis of the organization which was proven to be ineffective. I t is apparent that under otherwise equal circumstances, the better the IEOs' statutory acts are framed, the lesser the need in the subsidiary rule-making for their proper implementation. W i t h i n this context, an essential precondition for implementation is the maximum possible avoidance of the conflicts between the Member States' international obligations and their national legal acts. Taking into account the divergence in the Member States' municipal law approaches to the relationship between international and municipal laws, the drafters of the statutes and relevant documents should explicitly determine a priority of the statutory 17 See I L M 27 (1988), 974-988; Jorge L. Esquirol , Foreign Investment: Revision of the Andean Foreign Investment Code, in: Harvard International Law Journal 29 (1988), 169177.

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provisions over the national laws of the Member States. 18 I n actuality, a predominance of municipal law over an IEO's decision may be a serious factor undermining the latter's efficiency. This follows from the unsuccessful lesson of the E A C where the national legislation had priority over the regional one. 19

IV. Executive and Supervisory Functions of IEOs Despite the importance of the rule-making and interpretive efforts, taken alone, these are insufficient for the implementation of international legal norms. The central phase of implementation is the direct executive and supervisory activities of IEOs so as to ensure the application of the normative acts adopted within the framework of an organization. The existing IEOs have accumulated various forms and methods for these kinds of activities. The elaborate system of supervision is practiced within international financial organizations. For instance, the I M F oversees the international monetary system in order to ensure its effective operation and the compliance of each member with its obligations (Art. I V sec. 3 of the Articles of Agreement of the IMF). In particular, the Fund supervises the use of its general resources and may limit such use which is contrary to the purposes of the Fund (Art. V sec. 5). The Fund may also require the members to furnish it with such information which it deems necessary for its activities (Art. V I I I sec. 5). The I B R D supervision system consists of two stages: prior examination and subsequent supervision (control). A t the first stage, the examination covers the balance of payments of the requesting State, its attitude toward debt(s), and the project which is proposed for financing. A t the second stage, the Bank supervises the use of the loans granted and the progress of the financed project. 2 0 The most comprehensive executive and supervisory mechanism works in the EEC. The draftsmen of the Treaty of Rome managed to create an elaborate system of implementing procedures based upon the principle of separation of powers amongst the principal organs of the Community. The main burden of the operative executive work is bestowed upon the Commission which, among others, ensures "that the provisions of this Treaty and the measures taken by the institutions pursuant thereto are applied" (Art. 155). For this purpose the 18

See for instance A r t . 27 of the Unified Economic Agreement between the Countries of the Gulf Cooperation,Council. 19 See J. Ravenhilly Regional Integration and Development in Africa: Lessons from the East African Community, in: Commonwealth & Comparative Politics 3 (1978), 229 ff. 20 See Nicholas M. Poulantzas , International Financing and Supervision: The Example of the W o r l d Bank, in: Revue de D r o i t International de Sciences Diplomatiques et Politiques 60 (1981/1982), 283-287.

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Commission performs a number of functions which may be summarized as follows: — it examines the Member States' action on the fulfillment of their obligations; arranges consultations and makes necessary recommendations; — it issues directives establishing the procedure and timetable in accordance w i t h which the Member States carry out their obligations; takes organizational measures; — it submits proposals to the Council for working out and implementing the common policy of the Community; — it informs the Council on the progress in carrying out the Community's purposes; — it may authorize any Member State encountering special difficulties to postpone the fulfillment of certain obligations or to take protective measures in certain cases; — if it finds that there has been an infringement of a Treaty provision, the Commission may decide that the State concerned shall abolish or alter its measures; if the State concerned does not comply w i t h this decision within the prescribed time, the Commission may refer the matter to the Court of Justice; 21 — it consults the Member States whose national law regulations are incompatible w i t h the Community law; — it takes implementing initiatives; — it implements the EEC budget under the European Parliament and Council supervision.

The Council performs implementing functions mainly by virtue of the decisions taken in the Commission's proposals, when the Commission's own competence is insufficient. However, under A r t . 145 of the Treaty, the Council may also reserve the right, in specific cases, to directly exercise implementing powers itself. The European Parliament has quite limited advisory and supervisory powers. However, according to A r t . 149, where the Council acts in co-operation with the European Parliament, the latter may within three months, by an absolute majority of its members, reject the Council's common position. I n this case unanimity shall be required for the Council to act on a second reading. But as G. A. Bermann rightly comments, "this result may not be feasible, particularly if the Council had originally approved the common position only by a qualified majority vote". 2 2 A supervisory function with regard to the observance of law in the interpretation and application of the Treaty of Rome is performed by the Court of Justice (Art. 164). I t reviews the legality of acts of the Council and Commission other than recommendations and opinions (Art. 173), which, if the action is well founded, may be declared void (Art. 174). 21 In 1960s-1980s approximately 85 per cent of the infringements were settled at the administrative stage (see H. A. H. Audretsch , Supervision in the EEC, O E C D and BENEL U X — A Difference in Degree, but also in Kind?, in: International and Comparative Law Quarterly ( I C L Q ) 36 (1987), 838-855 (843). 22 George A. Bermann , The Single European Act: A New Constitution for the Community?, in: Columbia Journal of Transnational Law 27 (1989), 529-587 (578).

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A l o n g w i t h t h e f o u r p r i n c i p a l organs, some l i m i t e d i m p l e m e n t i n g powers are l a i d o n the o t h e r E E C i n s t i t u t i o n s : t h e C o u r t o f A u d i t o r s ( e x a m i n a t i o n o f t h e C o m m u n i t y financial activities), the M o n e t a r y C o m m i t t e e (consultative funct i o n s i n the field o f m o n e t a r y p o l i c y ) , t h e E u r o p e a n Social F u n d ( p r o m o t i n g t h e i m p r o v e m e n t o f e m p l o y m e n t o p p o r t u n i t i e s ) , the E u r o p e a n R e g i o n a l D e v e l o p m e n t F u n d (assisting t o redress the p r i n c i p a l regional imbalances i n the C o m m u n i -

ty). A d i s t i n c t separation o f i m p l e m e n t i n g powers a m o n g the supreme, executive and a d m i n i s t r a t i v e organs can be observed i n the c o n s t i t u e n t i n s t r u m e n t s o f the E C O W A S 2 3 and E C C A S . 2 4 I n some I E O s the i m p l e m e n t i n g competence o f the organs is framed i n m o r e general terms: the supreme organ formulates

the

o r g a n i z a t i o n ' s p o l i c y and determines appropriate ways and means o f its realizat i o n , w h i l e the executive organ directs and supervises t h e c u r r e n t o p e r a t i o n o f the o r g a n i z a t i o n and ensures the i m p l e m e n t a t i o n o f the supreme organ's decisions. 2 5 T h e F A O C o n s t i t u t i o n specifically provides t h a t the supreme organ (the C o n f e r ence) may review any decision t a k e n b y the executive (the C o u n c i l ) and o t h e r organs ( A r t . I V ) . T h e review o f the a p p l i c a t i o n o f the supreme and executive organs' acts m a y be k e p t b y t h e a d m i n i s t r a t i v e b o d y (e. g. A r t . 15 o f the C h a r t e r o f the C C A S G ) .

23

The A u t h o r i t y (supreme organ) of the E C O W A S is empowered " t o give such directions to the Council of Ministers and other institutions of the Community as are necessary for the expeditious and effective implementation" of the constituent Treaty (Art. 61 of the Treaty of the ECOWAS). The Council of Ministers examines the reductions or eliminations of customs duties (Art. 13), the method of application of the safeguard measures by the Member States (Art. 26), keeps under review the deflections of trade (Art. 16), the disparity in the levels of industrial developments of the Member States (Art. 32) and makes appropriate decisions and recommendations. The Executive Secretary, in turn, assists the Community institutions in the performance of their functions, keeps under review the operating of the Community and reports on the results to the Council of Ministers (Art. 8). 24 The Conference (supreme organ) of the ECCAS bears the main responsibility for implementing the aims of the Community. I t oversees the operation of Community institutions. When it confirms by a two-thirds majority that a Member State is failing in its obligations under the constituent Treaty, it may refer it to the Court of Justice (Art. 9 of the Treaty for the Establishment of the ECCAS). The Council of Ministers is empowered to keep under review the operation of any quantitative or like restrictions and prohibitions (Art. 34), and to order appropriate measures to facilitate the granting of special treatment to the land-locked and island countries (Art. 73). The General Secretariat executes its implementing functions by making proposals to the Council for the application of the common agricultural policy (Art. 44), for preparing a joint policy for upgrading minerals and hydraulic resources (Art. 57), and undertakes the technical studies necessary to devise a Community tourist development plan (Art. 65). 25 See Articles 15 and 20 of the Statute of the OPEC, Articles 7 and 15 of the Cartagena Agreement, Articles 32 and 67 of the Convention on the M I G A .

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I n the I E O s whose i n s t i t u t i o n a l structures differ f r o m a t r a d i t i o n a l t h r e e - b o d y one, t h e m a i n i m p l e m e n t i n g powers may be vested i n either the supreme (e. g. the E F T A , 2 6 t h e I T P A 2 7 ) o r t h e executive organ (e. g. the L A I A 2 8 ) . A p a r t f r o m the p r i n c i p a l organs, m a n y I E O s establish subsidiary bodies w i t h l i m i t e d i m p l e m e n t i n g f u n c t i o n s (e. g. t h e F A O , 2 9 the E C O W A S , 3 0 the E C C A S , 3 1 the O E C D , 3 2 and A S E A N 3 3 ) . T h e entire s p e c t r u m o f such supervisory organs operates w i t h i n the f r a m e w o r k o f G A T T : the Textiles Surveillance B o d y and the C o m m i t t e e s (Councils) overseeing the agreements o f the T o k y o R o u n d . These organs examine h o w the c o n t r a c t i n g parties observe t h e i r o b l i g a t i o n s and render services o n c o n c i l i a t i o n and dispute settlement. T h e C o u n c i l o f G A T T may also establish ad hoc bodies w i t h i m p l e m e n t a r y f u n c t i o n s . F o r example, i n 1987 i t 26

The E F T A Council supervises the application of the constituent Convention and considers whether further action should be taken by the Member States in order to promote the attainment of the Association's objectives (Art. 32 of the Convention Establishing the EFTA). The Member States notify the Council on their implementing measures, which, having examined, the Council takes appropriate decisions and recommendations. In certain cases the Council also may authorize any Member State t o suspend its obligations under the Convention (Art. 13, 31). 27

Under A r t . 7 of the Agreement Establishing the I T P A , "(1) The Governing Board shall exercise such powers and perform or arrange for the performance of such functions as are necessary to carry out the objectives of the Association. (2) The Governing Board may establish such subsidiary organs and adopt such rules and regulations as are necessary to carry out the objectives of the Association". 28

Under A r t . 35 of the 1980 Montevideo Treaty, the Committee of Representatives is empowered, amongst others, to promote the conclusion of regional scope agreement, to take measures necessary to implement the Treaty and all its supplementary rules, to represent the Association before third parties, to submit recommendations to the Council and the Conference, to create auxiliary bodies, to take care of business of common interest not falling within the competence of the other bodies of the Association, etc. 29 Under A r t . V I of the F A O Constitution, the Conference or Council may establish commissions " t o advise on the formulation and implementation of policy and to coordinate the implementation of such policy". 30 A r t . 38 of the Treaty of the E C O W A S establishes a Committee of West African Central Banks for the pupose of overseeing the system of payments within the Community. 31

W i t h i n the ECCAS the Committee on Trade, Customs and Immigration is responsible for the application of the Protocol on the rules of Origin for Products to be treated between the Member States of the ECCAS (Rule 12 of the Protocol). 32 The O E C D Committee of Experts on Restrictive Business Practices examines periodically the progress made in the implementation of the relevant acts of the Organization and makes reports to the Council (see the Revised Recommendation of the O E C D Council Concerning Cooperation between the Member Countries on Restrictive Business Practices Affecting International Trade, in: I L M 25 (1986), 1629-1635 (1632); the O E C D Council Recommendation for Cooperation in Areas of Potential Conflicts between Competition and Trade Policies, in: I L M 26 (1987), 858-860 (859). 33 For example, the A S E A N Food Security Reserve, the Committee on Industry Minerals and Energy, the A S E A N Committee on Trade and Tourism (see A S E A N Documents Series 1987-1988, Geneva 1989, 321-330).

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formed the working group to examine the T h i r d Lomé Convention in the light of the relevant provisions of the General Agreement. In its report the working party stated that the purpose and content of the Convention were in line with those embodied in the General Agreement, including its Part I V . 3 4 I n certain cases IEOs are formed solely to promote the functioning of complicated multilateral economic agreements (e. g. the commodity organizations 35 ). However, not all of them prove their feasibility. I n 1985 the International T i n Council was unable to meet its financial commitments. The attempts of the Member States to get out of the crisis failed and some main creditors initiated legal action before the English H i g h Court in London and some other courts. Although the H i g h Court refused to liquidate the Council, regarding this as incompatible w i t h its immunities and privileges, the operations w i t h the buffer stock were suspended. 36 Therefore, the executive and supervisory functions pierce through the entire IEOs activities, including rule-making. This is quite natural, since the main IEOs designation — to co-ordinate the Member States economic policies — presupposes the existence of a certain system of institutional means, procedures and real powers for the proper application of their normative acts. However elaborate such a system is depends upon the scope and intensity of the IEO's activities. The most developed implementing mechanisms can be found in the integrational, financial and commodity organizations.

V. Dispute Resolution The normal course of implementation does not necessarily include the discharge of dispute-resolving functions by IEOs. In many cases, the IEOs' interpreting, norm-making, executive and supervisory efforts prove to be sufficient for the proper application of their normative acts. The dispute-resolving powers start to be applied in the anomalous, though not rare, situations connected with disputes and breaches of law. However, as long as international law exists, the

34

See BISD, Thirty-fifth Supplement, 1987-1988, Geneva 1989, 321-330. See Palitha T. B. Kohona , Some Legal Problems Relating to the Implementation of International Commodity Agreements, in: Indian Journal of International Law 21 (1981), 546-562. 35

36 See for more details: Matthias Herdegen , The Insolvency of International Organizations and the Legal Position of Creditors: Some Observations in the Light of the International T i n Council Crisis, in: Netherlands International Law Review ( N I L R ) 35 (1988), 135-144; Ignaz Seidl-Hohenveldern , Piercing the Corporate Veil of International Organizations: The International T i n Council Case in the English Court of Appeals, in: German Yearbook of International Law 32 (1989), 43-54.

The Law-Implementing

Functions of IEOs

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process of its implementation inevitably covers such a corrective phase as dispute settlement. 37 What kinds of disputes can retard the regular pace of implementation? P. /. B. Kohona gives the following answer: "Disputes may arise between the [MJember [SJtates of an organization and the organization, among members themselves and among the various organs. They could relate to the implementation of the agreement, the interpretation of its provisions or of subsequent norms set by the organization, the internal working of the organization and a host of other matters". 3 8 The analysis of the IEOs' constituent instruments reveals three main types of organs involved in dispute settlement: (1) supreme and executive organs; (2) ad hoc judicial and quasi-judicial organs; (3) and permanent tribunals. 39 The frequency of disputes arising in IEOs varies considerably. The rates are higher within the actively operating organizations with a large number of powers. This factor influences the drafters of the statutory acts when they make their choice as to the type of dispute-resolving organs to be used. I t is quite difficult to follow any clear dependence between the subject and the intensity of activities, on the one hand, and the character of the dispute-resolving organ, on the other, in the existing IEOs. The only easily observed trend is that most integrational organizations resort to permanent tribunals, at least in their constituent instruments, if not so actively in practice. To some extent this is determined by the influence of the EEC, whose experience undoubtedly has a strong impact on the Member States' trust in the regional integration institution and the character of such IEOs' activities, which in spite of a high level of homogenity, may cause a large number of disputes. 40 A t the same time, the absence of explicit provisions relating to the dispute settlement mechanisms can be found in the constituent documents of certain actively operating IEOs (e. g. O E C D , 4 1 OPEC), and the organizations of mainly deliberative character (e. g. U N C T A D ) . 37 The idea that the dispute-resolving process may be considered a certain stage of law implementation is shared by many authors (see e. g. Max Sfarensen, Autonomous Legal Orders: Some Considerations Relating to a System Analysis of International Organizations in the W o r l d Legal Order, in: I C L Q 32 (1983), 559-576 (566). 38

See Kohona (note 3), 150. International administrative tribunals dealing w i t h disputes between an organization and its officials, as well as the I C S I D , involved in resolving investment disputes between States and the nationals of other States, are intentionally left beyond the scope of this study, since these kinds of dispute settlement do not directly relate to the implementation of the international legal rules of interstate nature. 40 See some considerations on this point, in: Judicial Settlement of International Disputes. A n International Symposium, New York / Heidelberg / Berlin 1974, 381, 397, 404, 405. 39

16 GYIL 34

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Normally, the IEOs' Member States attempt to avoid administrative or judicial dispute settlements, preferring, at least during the initial stage of the development of a dispute, the more amicable procedures of consultations and negotiations. As Kohona writes, "multilateral economic agreements rely extensively on consultations, negotiations and investigations for the purpose of resolving disputes". 42 The constituent instruments of some IEOs contain special provisions on consultations and negotiations as pre-judicial means of dispute settlement (e. g. A r t . X X I I of the G A T T , A r t . 3 of the O E C D Convention). The importance of regularly held consultations and negotiations is that they not only play a certain rôle in resolving existing disputes, but may also help the Member States in avoiding potential disagreement. 43 However, past experience has shown that quite often an economic dispute can hardly be settled bilaterally, without a recourse to a third party. 4 4 Unlike States, many IEOs do not follow the principle of separation of powers in its classical version and in certain cases their supreme or executive organs may be endowed w i t h quasi-judicial powers. 45 I n this connection the following typical schemes may be observed. (1) The supreme organ takes the final binding decision on the dispute without recourse to any other bodies. Such a brief formula without going into procedural details is provided, for example, by A r t . 18 of the Agreement Establishing the O W P E A C , A r t . V I I I of the Agreement Establishing the IBA, and A r t . 21 of the Agreement Establishing the A T P C . (2) The supreme or executive organ resolves disputes with the assistance of a specially established body consisting of legal experts (e. g. examining committee in the E F T A , 4 6 advisory panel in the International Coffee Organization, 47 ad hoc tribunal in the C A R I C O M , 4 8 Commission for settlement of disputes in the 41

Though, the O E C D Convention does not explicitly provide for any dispute-resolving procedure, some rules on consultations and conciliation can be found in its subsequent normative acts. For example, pursuant to the Revised Recommendation of the Council concerning co-operation between Member Countries on restrictive business practices affecting international trade of 1986, the Member Countries agree to use the good services of the Committee of Experts on the Restrictive Business Practice for the purpose of conciliation (see I L M 25 (1986), 1634, 1635). 42

Kohona (note 3), 166. Ibid., 153. 44 Many panels in G A T T were established after the consultations had proved to be unsuccessful (see, for instance, G A T T Activities in 1988, Geneva 1989, 62, 70). 45 Kohona (note 3), 149. 46 See A r t . 31 of the E F T A Convention. The procedure of this Article, however, is rarely applied to cases in pratice. The parties concerned prefer a political compromise to a legal settlement (see Adrienne Szokoloczy-Syllaba, E F T A : The Settlement of Disputes, in: I C L Q 20 (1971), 519-534). 47 See Articles 57, 58 of the 1983 International Coffee Agreement. A n example from the practice of this panel see in: International Law Reports 62 (1982), 422-428. 48 See Articles 11, 12 of the Annex to the Treaty Establishing the C A R I C O M . 43

The Law-Implementing

Functions of IEOs

243

C C A S G , 4 9 panel in G A T T 5 0 ) . In this case, the final arbiter is also a supreme or executive organ, while the special body establishes the facts relating to the disputed matter and makes recommendations to the decision-making organ. The extensive dispute-resolving experience within G A T T proves that the recourse to subsidiary quasi-judicial organs may be quite efficient, if these retain the confidence of the Member States and the latter treat them rather as a coadjudicator in finding compromises among the disputing parties, than an arbitrator imposing binding decisions. Perhaps, for this reason, on the one hand, the G A T T contracting parties never used to bring G A T T cases to the outside judicial institution, and, on the other hand, most of the panel reports were adopted by the Contracting Parties and followed by the countries concerned. (3) The final dispute-resolving decisions are taken for some disputes by the supreme or executive organ, for the others by ad hoc tribunals. Thus, the statutory acts of the M I G A and the OPEC Fund for International Development provide that the disputes between the member and the organization or among the members are to be settled by the executive organ, while the dispute between the organization and a State, which has ceased to be a Member, are to be resolved by an ad hoc tribunal. 5 1 A somewhat different three-stage procedure can be found in the W A R D A Constitution. If a dispute cannot be settled by the parties concerned, it should be submitted to the Governing Council. I n its turn, if the latter cannot reach a conclusion on the disputed matter or if its conclusion is not accepted by the parties, either of them may request arbitration by an ad hoc Arbitral Tribunal (Art. XVI). A n important trend in the dispute-resolving process within IEOs is that some of them establish relatively independent permanent organs with judicial powers (the Court of Justice of the EEC, the Tribunal in the E C O W A S , the Court of Justice of the ECCAS, the Court of Justice of the Cartagena Agreement and the Tribunal 49

See A r t . 10 of the Charter of the C C A S G . Under A r t . X X I I of the General Agreement, a disputable matter may be referred to the Contracting Parties which "shall promptly investigate any matter so referred to them and shall make appropriate recommendations to the contracting parties which they consider to be conceerned, or give a ruling on the matter, as appropriate". N o t h i n g is said about panels which started to be formed in the course of the G A T T evolution, first, as a customary practice, later codified in the "Understanding Regarding Notification, Consultation, Dispute Settlement and Surveillance" adopted in 1979. There is extensive literature on the G A T T dispute settlement, which relieves me of the necessity to go into detailed description of how it works (see e. g. Ivo Van Bael y The G A T T Dispute Settlement Procedure, in: Journal of W o r l d Trade Law ( J W T L ) 22 (1988) Issue N o . 4, 77; Robert P. Parker , Dispute Settlement in the G A T T and the Canada-US Free Trade Agreement, in: J W T l ] 23 (1989) Issue N o . 3, 83-95; Jeffrey M. Waincymer , G A T T Dispute Settlement: A n Agenda for Evaluation and Reform, in: N o r t h Carolina Journal of International Law and Commercial Regulation 14 (1989), 81-119. 50

51 See Articles 56, 57 of the Annex I I of the M I G A Convention, Articles 12, 13 of the Agreement Establishing the OPEC Fund for International Development.

16*

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of the PTA). As has been noted above, the permanent tribunals are often constitutionally provided for in the regional integration organizations which need and can afford a certain degree of "judicial supranationality". Among the other IEOs one can also find judicial organs, but of ad hoc character and with more limited functions (e. g. the Benelux Economic Union, 5 2 the I T P A 5 3 ) . Normally, States resort to the tribunals at the final stage of a dispute, after all other less painful means (consultations, negotiations, conciliation, good offices of the organization officials) have been exhausted. This is quite understandable, since, having recourse to a tribunal, the parties to a dispute lose the opportuniy of a third-party arbitrator. Being in general very reticent about this way of dispute settlement, States refer to it quite rarely. Apart from the European Court of Justice, whose extensive judicial practice has been an object of thorough examinat i o n , 5 4 the other IEOs' tribunals have not yet gained any noteworthy experience in dispute-resolution, thus remaining a potential, rather than a practical tool. A certain dependence appears to exist between the level and intensity of integration, on the one hand, and the volume of work of the judicial organs within the integration communities, on the other.

V I . Sanctioning One can hardly disagree with E. Eukatsu calling for the move of the lawenforcement process "from coercion to persuasion, from military to diplomatic, economic and psychological sanctions and, as far as possible, from maximum to minimum forms of pressure". 55 However, the realities of international life still often dictate the use of sanctions 56 when peaceful means of settlement are exhausted or infeasible. 52

A r t . 44 of the Treaty Establishing the Benelux Economic Union stipulates that " A dispute which cannot be settled in the Committee of Ministers shall be submitted to the College of Arbitrators either at the joint request of the parties to the dispute or at the request of either one of them". 53 Pursuant to A r t . 17 of the Agreement Establishing the I T P A , a dispute between the Association and a Member shall be submitted to arbitration by a tribunal of three arbitrators, one appointed by the Governing Board of the Association, one by the Member involved and a third by the two arbitrators so appointed. The decisions of such tribunals are final and binding on the Association and the Member concerned. 54 See, for example, Gordin Slynn , The Court of Justice of the European Communities, in: I C L Q 33 (1984), 409-429; Christine Gray , Judicial Remedies in International Law, O x f o r d 1987, 120-149. 55 Eiichi Fukatsuy Coercion and the Theory of Sanctions in International Law, in: Ronald St. J. Macdonald / Douglas M. Johnston (eds.), The Structure and Process of International Law: Essays in Legal Phisolophy Doctrine and Theory, The Hague / Boston / Lancaster 1983, 1203, 1204. 56 See V. A. Vasilenko , International Legal Sanctions, Kiev 1982; V. A. Vadapalas ,

The Law-Implementing

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245

In order to avoid an abuse of force in international relations, sanctions, as the extreme measures of coercion, are admissible only under certain conditions: (1) as a reaction to a breach of a legal obligation; (2) proportionally to the negative consequences of such a breach of law; (3) strictly within the margins of the sanctioning competence of the subject taking such measures. Why do we consider the use of sanctions as a specific phase of implementation? Normally, when the course of realization of a legal rule is not impeded by its breach, there is no need for sanctions. Moreover, not all breaches of law are followed by sanctions. Only if a delinquent subject refuses to stop its illegal actions and compensate for the negative consequences, and peaceful means of settlement do not work, sanctions remain the last possible instrument to aid the final realization of the violated rule. O f course, not all sanctions necessarily ensure the proper or even partial realization of a broken rule (rte Par do Lopez

lebenslange Freiheitsstrafe keiner gerichtlichen Überprüfung unterzogen werden könne. 3 4 4 Den Bf. sind die Verfahrenskosten gem. A r t . 50 vom Vereinigten Königreich zu ersetzen. 5. Das Μ Κ traf 1989 in siebzehn Fällen Entscheidungen über das Vorliegen einer Menschenrechtsverletzung nach A r t . 32. 3 4 5 Aus dem zweiten Jahr des Berichtszeitraumes sind bisher nur zwei Entscheidungen nach A r t . 32 bekannt. 3 4 6 6. Die PV befaßte sich mit dem Schutz von Flüchtlingen und Wanderarbeitnehmern, insbesondere der Ausbildung der Kinder von Wanderarbeitnehmern, 347 der Situation iranischer und irakischer Flüchtlinge und Asylsuchender in der Türkei, 3 4 8 dem 25. Tätigkeitsbericht des Hohen Flüchtlingskommissars der U N 3 4 9 sowie der Aufnahme und Unterbringung deutschstämmiger Flüchtlinge und Übersiedler aus Mittel- und Osteuropa in der Bundesrepublik Deutschland. 350 Von großer Bedeutung war die Diskussion über die Embryonen- und Fötenforschung. 351 Grundlage jedweder Regelung soll der Schutz der Menschenrechte und der Menschenwürde sein, der Respekt vor menschlichem Leben und dem genetischen Erbe der Menschheit. Das M K wird daher aufgefordert, Prinzipien für die nationale Gesetzgebung aufzustellen, bei den Mitgliedstaaten auf die Bildung interdisziplinärer Gremien hinzuwirken, diese zur Information ihrer Bevölkerung und zu Untersuchungen in bestimmten Bereichen anzuhalten und ein gewisses 344

a.a.O., 29-33, Ziff. 60-69.

345

Es handelte sich dabei um die Beschwerden 11181/84 Sallusto gegen Italien, Erschliessung D H (89) 1; 9471/81 Warwick gegen Vereinigtes Königreich, Entschließung D H (89) 5; 10474/83 Veit gegen Bundesrepublik Deutschland, Entschließung D H (89) 6; 9630/81 Minniti gegen Italien, Entschließung D H (89) 7; 9625/81 Marinucci gegen Italien, Entschließung D H (89) 11; 10537/83 Uskela gegen Schweden, Entschließung D H (89) 14; 11533/85 Stiftung christlicher Schulen Ingrid Jordebo gegen Schweden, Entschließung D H (89) 15; 10801/84 L. gegen Schweden, Entschließung D H (89) 16; 10622/83 / . gegen Vereinigtes Königreich, Entschließung D H (89) 17; 11688/85 Mlynek gegen Österreich, Entschließung D H (89) 19; 11540/85 Kami gegen Schweden, Entschließung D H (89) 20; 11523/85 Grace gegen Vereinigtes Königreich, Entschließung D H (89) 21; 11095/84 W gegen Vereinigtes Königreich, Entschließung D H (89) 27; 11394/85 Akdogan gegen Bundesrepublik Deutschland, Entschließung D H (89) 28; 10551/83 lengin gegen Bundesrepublik Deutschland, Entschließung D H (89) 29; 8821/79 Biondo gegen Italien, Entschließung D H (89) 30; 11362/85 Catanaso gegen Italien, Entschließung D H (89) 32. 346

Savoldi gegen Italien, Entschließung D H (89) 11 ; Axelsson und andere gegen Schweden, Entschließung D H (89) 16. Bei Redaktionsschluß waren weitere Entschließungen noch nicht bekannt. 347 348 349 350 351

Empfehlung 1093 (1989); Doc. 5994, 6002; Debates, 40th ord. sess., 572-588. Empfehlung 1094 (1989); Doc. 5995; Debates 40th ord. sess., 588-594. Doc. 5914. Debates, 40th ord. sess., 588-594; Doc. 6039; Empfehlung 1106. Debates, 40th ord. sess., 725-750; Doc. 5943, 5989, 5943, 6006.

Die Tätigkeit

des Europarates in den Jahren 1989 und 1990

Maß an Kontrolle zu gewährleisten. 352 Die PV nahm eine Bestandsaufnahme der Anwendung und Durchsetzung der Europäischen Sozialcharta 353 vor und forderte das M K auf, weitere Schritte einzuleiten, um die Akzeptanz bei allen Staaten des Europarates zu erhöhen. 354 Die Parlamentarier machten deutlich, daß der Schutz sozialer und wirtschaftlicher Rechte im Rahmen der EG nicht hinter dem der Europäischen Sozialcharta (ESC) zurückbleiben dürfe und daß diese zu einer unantastbaren Quelle von Grundrechten und -prinzipien in den EG werden solle. 355 I m Jahre 1990 befaßte sich die PV mit den Rechten der Flüchtlinge aus Zentralund Osteuropa, 3 5 6 mit den Rechten des Kindes, 3 5 7 mit Minderheitenrechten 358 und mit der Situation libanesischer Flüchtlinge. 3 5 9 7. M i t der Ratifikation der E M R K trat diese für San Marino in Kraft. Gleichzeitig unterwarf sich San Marino, ebenso wie die Türkei, der Rechtsprechung des E G M R durch eine Erklärung gemäß A r t . 46 und erkannte, wie auch Zypern, das Individualbeschwerderecht gemäß A r t . 25 an. 3 6 0 A m 10. Mai 1990 ratifizierte Finnland die E M R K und erkannte das Individualbeschwerderecht nach A r t . 25 an. 3 6 1 8. Der alle drei Jahre von der Kommission verliehene Menschenrechtspreis wurde Lech Walesa und der „International Helsinki Federation for Human Rights", Wien, wegen ihres Engagements für persönliche Freiheit, die Garantie politischer Rechte und die Vorherrschaft des Rechts verliehen. 362 9. V o m 17. bis 19. April 1989 wurde in Straßburg ein Kolloquium über die Universalität der Menschenrechte in einer pluralistischen Welt abgehalten. 363 A m 30. November und 1. Dezember 1989 fand ein Kolloquium zum Thema Menschenrechte ohne Grenzen statt. 3 6 4 In Wien fand die 2. Europäische Ministerkonferenz 352

Order 444. ETS Nr. 35. 354 Opinion N o . 145. 355 Debates, 41st ord. sess., 71-82; Doc. 6031; Entschließung 915; vgl. auch die Ausführungen des Ständigen Ausschusses über die ESC und den möglichen Beitritt der EG am 16. November 1989; Doc. 6138; Entschließung 931; zum Verhältnis des Rechts der ESC zum EG-Recht vgl. Alan J. Riley, The European Social Charter and Community Law, in: E L R 14 (1989), 80-86. 356 Debates, 41st ord. sess., 799-810; Doc. 6167; Empfehlung 1120. 357 Debates, 41st ord. sess., 810-829; Doc. 6142, 6150; Empfehlung 1121. 358 Debates, 42nd ord. sess. (14.); Doc. 6294, 6302; Empfehlung 1134. 359 Debates, 41 st ord. sess., 873-879; Doc. 6155; Entschließung 940. 360 Hummer / Wagner (Anm. 199), 196, 197; E u G R Z 17 (1990), 83. 361 Doc. 6291, D. 1. 362 Doc. 6042, 5; E u G R Z 16 (1989), 184; Press Communiqué I (89) 13 und I (89) 30. 363 Doc. 6042, 14. 353

364

Doc. 6103, 43-45.

556

Dfrte Pardo Lopez

zur Gleichstellung von Frau und Mann statt, die sich insbesondere der Durchsetzung tatsächlicher Gleichberechtigung zuwand. 3 6 5 V o m 30. Mai bis 2. Juni fand das 7. Kolloquium zur E M R K in Lund, Oslo und Kopenhagen 366 und am 5. November eine informelle Ministerkonferenz über Menschenrechte in Rom statt. 3 6 7

365 366

367

V o m 4. bis 5. Juli 1989, Doc. 6103, 43. Doc. 6291, E.

Ebenda.

Book Reviews David Freestone / Ton I. Jlstra (eds.): The N o r t h Sea: Perspectives on Regional Environmental Co-operation: Special Issue of the International Journal of Estuarine and Coastal Law. Graham & Trotman / Martinus Nijhoff, London / Dordrecht / Boston 1990, £89.50 / Dfl. 245,—. The book under review consists of three parts: Part One: The International N o r t h Sea Conference in Perspective; Part Two: Perspectives O n Existing Framework; and Part Three: Outstanding Issues. The main feature of this collection of essays is that it combines legal and scientific issues relating to outstanding problems of environmental protection of the N o r t h Sea. In fact, it is the most comprehensive book published at present on the subject. Part One of the study consists of the following essays: Peter Ehlers , The History of the International N o r t h Sea Conferences; Yves van der Mensbrugghe, Legal Status of International N o r t h Sea Conference Declarations; Lothar Gundling , The Status of International Law of the Principle of Precautionary Action; Folkert de Jong, The Second International N o r t h Sea Conference on the Protection of the N o r t h Sea: National Implementation; J. Gibson and R. R. Churchill , Problems of Implementation of N o r t h Sea Declarations: A Case Study of the United Kingdom; Ν. V. Jones, The N o r t h Sea Environment: Features and Problems; C. Reid y The W o r k of the N o r t h Sea Task Force. The first of the essays contained in the first part describes extensively the history of the N o r t h Sea Conferences. I t goes back to 1983 when the Government of the Federal Republic of Germany took the initiative to invite the N o r t h Sea coastal States to participate in an International Conference on the Protection of the N o r t h Sea (INSC) at the ministerial level. Eventually, the first conference took place in Bremen (31 October to 1 November 1984) w i t h the participation of all the Ministers of the N o r t h Sea Coastal States, the Commission of the European Communities and many observers. This conference ended with the adoption of a comprehensive Declaration, focusing on many topics, such as: the status of the N o r t h Sea, basic principles, pollution via rivers and from coastal waters, pollution via the atmosphere, waste disposal at sea, pollution from ships, airborne surveillance, oil pollution from platforms, environmentally sound technologies and products, and monitoring programmes. Despite the loose language of the Declaration, which did not give enough motivation for implementation of concrete measures, Ehlers stresses that the Conference can be regarded as a success: for the first time all the coastal States' ministers responsible gathered around the table and committed themselves to taking joint measures; moreover, all the participants affirmed their commitment to joint responsibility and the necessity of united action. This first conference was followed by the second and the third. New topics were added, e. g. the Wadden Sea. Ehlers assesses very positively the results achieved at these conferences. We should bear in mind, however, that they have predominantly political significance and that Declarations adopted at these forums have only an unclear legal status.

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The legal status of the International N o r t h Sea Conference Declaration is the subjectmatter of the next essay. Professor Van der Mensbrugghe provides a very thorough description of controversies and nuances related t o the legal status of declarations. I t is not clear whether these declarations generate any legal obligations. Some claim that they belong to so-called "soft law". These questions cannot be answered easily and as the author of the essay remarks " . . . the battle is raging on" (p. 17). I n addition to the general legal background, the readers are presented w i t h a detailed analysis of the texts of the Bremen and London Declarations. Professor Van der M ensbrugghe reaches the conclusion that these declarations are not binding instruments thus precluding resort to the court or the creation of international responsibility. They must, however, be carried out w i t h good faith. Chapter three deals w i t h the principle of precautionary action. This concept is equally elusive. I n the essay under review, the principle of precautionary action is viewed as a more stringent form of preventive environmental policy. The author states that: " [ i ] t is very rare that treaties, declarations and resolutions of international organizations, or other elements of State practice which may be considered constitutive for the formation of general international law, expressly recognize the principle of precautionary action. This does not mean, however, that the principle does not exist in international law: it may be recognized as an Underlying' or 'implied' principle" (p. 27). I t would have added clarity to the author's reasoning if he explained in more detail what is understood by "underlying" or "implied" principle. Having researched treaty law and general international treaty law in relation to the application of the principles of precautionary action, the author draws the (correct) conclusion that the status and content of these principles are still surrounded by uncertainties which require a well defined approach. Chapter four deals w i t h national implementation of the second International Conference of the Protection of the N o r t h Sea. The author of the essay gives an extensive survey of national implementation in Belgium, Denmark, Federal Republic of Germany, the Netherlands, Norway, the United Kingdom, Sweden and the European Community. The author, however, confesses that it is a difficult task at present to produce a thorough evaluation of the implementation of the second I N S C . The time between the Second and the T h i r d Conferences is too short. The results of the Conference must be transferred and delegated to many different levels of the administrative system and this part of the implementation process may encounter bureaucratic obstacles. Further, new legislation must be developed and enforced. Therefore, in most cases, only governmental plans were produced, often based on rough estimates. The author of the essay cautions against too optimistic expectations of the results (it is already quite obvious that the 50 per cent reduction of nutrients will not be met). The author rightly concludes that some fundamental change of policy is required. The next chapter deals w i t h the implementation of the N o r t h Sea Declarations in the practice of the U . K . This is not an easy task. The loose and sometimes unclear language of the Declarations makes it difficult to state w i t h precision what obligation is contained in the Declaration and to judge whether a particular obligation can be complied with. The author of the essay concentrates his survey on two areas dealt w i t h in the Declarations: inputs of dangerous substances into rivers and estuaries and dumping. The following subjects were researched: inputs via rivers and estuaries of substances called "red-list" (the

Book Reviews most dangerous substances entering the aquatic environment), environmental quality objectives, uniform emission standards, diffuse sources, dumping, industrial waste, dredged materials and sewage sludge. A definite answer as to the status of compliance by the U . K . Government w i t h the Declarations is not easy to give. O n the one hand, however, the Declarations have some positive effects by accelerating certain reforms; on the other hand, the U . K . Government tends to "take an easy way" in the case of interpretation of the unclear language contained in the Declaration and does not favour the strictest solution. The next chapter describes in a general way the features of the N o r t h Sea environment. I t gives an introduction to its physical features, chemical features, and biological features. The author of the essay gives an outline of problems facing the N o r t h Sea due to human-induced pollution such as dumping of dredged material and atmospheric fall-out. The author states that direct changes in the biology of the N o r t h Sea "are mainly due to man hunting the predators" (p. 75) which causes a change in the food web and may result in the development of a different balance of species. The anthropogenic changes cause problems at different levels: (i) ecosystem changes; large scale changes in the physical and/or chemical character of the area resulting in large-scale biological changes; (ii) community changes; (iii) population changes. The N o r t h Sea is a very complicated ecosystem which requires better understanding. Although the system has a natural capacity to withstand changes which are a part of the natural environment, it is showing the signs of stress. Thus, the formation of the N o r t h Sea Task Force, as a result of the Second I N S C , should facilitate co-ordination and exchange of information between the scientists. The N o r t h Sea Task Force (NSTF) is precisely the topic of the next chapter. The N S T F is comprised of scientists from the N o r t h Sea States, the EC Commission, ICES and O S P A R C O M , and set up under the auspices of the International Council for the Exploration of the Sea (ICES), and Oslo and Paris Commissions ( O S P A R C O M ) . The objectives of the N S T F are as follows: 1. To provide an organizational framework for discussion and exchange of views between policy-markers and scientists. 2. To prepare interim reports on selected subjects and when necessary to the Commission, to ICES, and to the N o r t h Sea Conference. Nine gaps in scientific knowledge were identified under objective four. 3. To screen and coordinate the scientific work carried out within the framework of O S P A R C O M and ICES. 4. To fill gaps in knowledge identified by the previous "Quality Status Report" (QSR) and the London Declaration in 1967. 5. To produce a new assessment of the N o r t h Sea (QSR) in 1993. The Task Force provides a unique forum to debate between scientists and policy-makers from the N o r t h Sea States and the EC in order to develop a coherent and co-ordinated plan for the long-term sustainable management of N o r t h Sea resources. A t the national level, the Task Force stimulates the development of new ideas in all fields of interest relating to the N o r t h Sea. Part Two consists of the following essays: Peter Hayward , The Oslo and Paris Commission; J.-L. Prat , The Rôle and Activities of the European Communities in the Protection and the Preservation of the Marine Environment of the N o r t h Sea; Jorgen Wettestad and

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Steiner Andre sen, Science and N o r t h Sea Policy-Making: Organization and Communications; Andre Nollkaemper , The Rhine Action Programme: A Turning-Point in the Protection of the N o r t h Sea; Sonia Boebmer-Cbristiansen , Environmental Quality Objectives versus Uniform Emission Standards; Jitka Vennekens-Capkova , Dangerous Substances: Caméléons in Water Policy; Viktor Sebek , The N o r t h Sea and the Concept of Special Areas; John F. Kemp and Aline F. M. De Bievre, A Regional Vessel Traffic Service for the N o r t h Sea; George Kasoulides , Paris Memorandum of Understanding: A Regional Regime of Enforcement; E. Somers , The Role of Court in Enforcement of Environmental Rules; Karel van der Zwierp , The Wadden Sea: A Yardstick for a Clean N o r t h Sea. The first of the above-mentioned essays deals w i t h the Oslo and Paris Commissions and in particular w i t h their rôle in international N o r t h Sea Conferences. The work of the Commission is particularly valuable in the development of political commitments entered into by ministers which become binding for the Contracting Parties under international law. Furthermore, the author of the essay outlines the response from the Commissions to the Bremen Declaration and the London Conference. The INSCs influenced the work of the Commissions, as it is pointed-out in the essay: " . . . it is almost certainly true that the Ministers' political agreement paved the way for the subsequent Oslo Commission Decision on the reduction and cessation of dumping" (p. 97). In conclusion, the author gives a sober assessment of the Commission's possibilities: they can only act in the way the Member States have empowered them to. Thus, what is necessary for the protection of the N o r t h Sea is the political will to take necessary measures in accordance w i t h commonly agreed principles. The next essay describes the rôle of the EC in the protection of the N o r t h Sea environment. The author of the study emphasizes the significant rôle of the EC in this field. This is done specifically through environmental acts and through various instruments and measures relating to marine safety. Some of the EC directives are a response to Ministerial Declaration (e. g. the elimination of PCBs and PCTs). The author rightly points out that, although the EC is not a party to the Oslo Convention, it exercises a certain influence within O S C O M . The author poses several crucial questions as to EC competence in environmental matters. The answers given would merit more exhaustive treatment befitting such a complicated matter as the rôle of the EC in environmental protection. Nevertheless, all the controversies and difficulties concerning the problem of the environment within the EC are properly outlined (e. g. how to reconcile environmental policy w i t h the requirement not to distort competition). The next essay focusses on the communication process between politics and natural science in the N o r t h Sea environmental regime. This study is written from a political science perspective. The authors list four fundamental functibns which are preconditions for an effective and productive interaction between science and the policy-making cycle in the context of international resource management. These functions are: co-ordination, separation, communication, and co-optation. Further, the reader is presented w i t h the possible links between these functions. The description of the relationship between these functions is, however, a bit hurried and therefore somewhat confusing for the reader who is not a political scientist. Much more developed and well formulated is a critical analysis of strengths and weaknesses of the scientific-political complex.

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In conclusion the authors identify several institutional deficiencies: the co-ordination of research and monitoring is flawed; the awareness of the importance of the clear distinction between science and politics is too low; policy-makers and scientists speak different languages and translation services are sparse; and the media lack the necessary expertise to inform the public in a rational manner. The next essay describes the Rhine Action Programme (RAP). The author gives a very sound description of R A P and compares it w i t h other programmes. In some respects R A P goes beyond other instruments dealing w i t h the protection of the N o r t h Sea against pollution from watercourses. The action programmes must be "tailored" for each and every case separately. The author stipulates for greater efficiency, however, harmonization between different programmes. The most interesting part of the essay is devoted to the position of the EC, namely, how the parties circumvented the problems ensuing from the EC involvement in the International Rhine Commission (IRC). Since R A P is not binding and leaves open the way in which objectives can be effected, the EC did not voice any objections to the adoption of the programme, notwithstanding that at the time of the adoption of RAP, there were EC Directives in force. There is, however, a need for a structural solution for the problems in relations between the Rhine States and the EC. I n concluding this interesting study, the author states that the adoption of R A P has been a major event in water quality management in Europe. The author of the next essay deals w i t h the particular controversial problem of Environmental Quality Objectives ( E Q O ) and Uniform Emission Standards (UES) w i t h particular emphasis on British practice. First, the essay introduces the reader to definitions and criteria. The debate over E Q O and UES affected intergovernmental forums concerned w i t h the N o r t h Sea, in particular the Oslo/Paris Commission and the EC. Great Britain was the main proponent of the E Q O approval. The controversy over the "dualistic" approach reached its peak, and partial solutions, in connection w i t h EEC Directive 76/464 on pollution caused by certain dangerous substances discharged into aquatic environments. In 1986 the U . K . accepted UES standards for blacklist substances. According to the author of the essay, there is no general answer to the question whether UES reduce inputs faster than E Q O . The author states realistically that what can be expected and demanded in the foreseeable future is gradual agreement on increasingly stringent measures for the most harmful and persistent substances based on minimum UES supplemented by national quality restrictions and supported by national and joint monitoring and research programmes. Based on the U . K . practice, the author talks about the English tradition of "government science" and the view that there should be a sharp distinction between science and policy. The next essay under review gives an outline of the International Conventions and supranational regulations which deal w i t h the concept of dangerous substances. This is a very useful and practical essay, although requiring a great deal of attention from the reader who is subjected to extensive lists of dangerous substances in all possible colours: black, grey, red, bordeaux and finally a "green" list presented by the author. I t would greatly improve this very useful survey, if the author "diluted" somewhat her information to make it more accessible to the average reader. "Special areas" and their usefulness in connection w i t h the N o r t h Sea are the subject of the next chapter. I t deals extensively w i t h the special areas instituted under the regimes of the 1973 International Convention for the Prevention of Pollution from Ships ( M A R P O L

3

G Y I L 34

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73/78) and of the Law of the Sea Convention (LOS Convention) of 1982. Further, the author proceeds to describe particularly sensitive area regulation by I M O , the relevant norms of the LOS Convention on the same subject and finally, specially protected areas under the U N E P regional seas programme. Having presented all the options, the author reaches the conclusion that the N o r t h Sea is in a privileged position by comparison w i t h other seas due to the following factors, namely, that all the coastal States are developed countries in a position to provide and pay for the necessary infrastructure and that the INSCs provide a regular opportunity for the continuous overview of the environmental state of the N o r t h Sea. Therefore, as soon as a joint decision is taken for additional measures, a concerted request to the International Maritime Organization ( I M O ) almost certainly will result in acceptance of the N o r t h Sea as a special area, or for granting specific sections of the N o r t h Sea the status of a special area. The following chapter describes a regional vessel traffic service (VTS) for the N o r t h Sea. This system functions as an information exchange and management system. The authors of the essay give a description how this system operates. The V T S system, according to I M O guidelines on Vessel Traffic Services has three general aims: (i) increasing safety; (ii) improving traffic efficiency; (iii) protecting the environment. For a lawyer, the most interesting is the part dealing w i t h the legal aspects of V T S , especially in light of the growing jurisdiction of coastal States on one hand and the ecological awareness on the other hand. The next essay deals w i t h the Paris Memorandum of Understanding ( M O U ) . The author presents the reader w i t h the organization structure and functions of the M O U . This essay is very informative. The reader, however, would find it very interesting, if the author had been able to expand a little bit more on enforcement powers under Paris M O U . The author draws the correct conclusion that M O U was perceived by the relevant maritime administration as a formal co-operative regime on enforcement issues but not as an international regime creating new legal rights and obligations for the parties. The subject matter of the essay which appears next is most topical: the role of the courts in the enforcement of environmental rules. The author of the essay gives an overview of enforcement w i t h regard to marine pollution and further a study of enforcement w i t h respect to vessel-source pollution in the light of provisions of M A R P O L 73/78 and LOS Convention of 1982. Subsequently, he deals w i t h enforcement in relation to pollution from dumping, from land-based pollution, sea-bed activities, and from or through the atmosphere. This very interesting study is concluded w i t h a statement that the question of the enforcement of international legal rules and standards with respect to the pollution of the marine environment has not yet received the priority treatment it deserves. Professor Somers rightly points out that enforcement, together w i t h implementation of international rules, is a weak spot in the legal machinery to protect the marine environment. The role of courts (judicial enforcement) is thus merely a stage in the enforcement process. The last essay in Part Two tackles the very interesting, and for the average reader not very well known, problem of the Wadden Sea, which lies in the south-eastern part of the N o r t h Sea, along the coasts of southern Denmark, Germany and the Northern part of the Netherlands. I t is a vast wetland area of about 8,000 k m 2 , especially rich in wildlife. There exist, however, threats to fauna and flora there, such as: loss of biotopes or habitats;

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downgrading of environmental quality; and depletion of species. O n the initiative of the Netherlands, the three Wadden Sea States started trilateral Wadden consultations as a permanent institution, w i t h a united approach to the problems of this area. Parallel to environmental initiatives concerning the Wadden Sea itself, runs the N o r t h Sea administrative policy, also influencing the ecological status of the Wadden Sea (e. g. INSC). The Netherlands, Germany and Denmark have made an important contribution to the realization of a joint international administration of the Wadden Sea. O f the highest importance is a healthy N o r t h Sea environment. The Wadden Sea co-operation in common management can serve as a model for further intensification of N o r t h Sea administration. Part Three — Outstanding Issues — consists of the following essays: Erik Franckx, Maritime Boundaries and Regional Cooperation; Uwe Jeriish , The Exclusive Economic Zone as an Instrument for Environmental Management in the N o r t h Sea Area; Gerard Peet and Susan Gubbay , Marine Protected Areas in the N o r t h Sea; Patricia Birnie , Problems Concerning Conservation of Wildlife including Marine Mammals in the N o r t h Sea; David Symes , N o r t h Sea Fisheries: Trends and Management Issues; Scott Davidson , Atmospheric Depositions; John Woodliffe , Radiological Discharges; H. D. Smith , Sea Use Management and Planning in the N o r t h Sea. The first of these essays describes maritime boundary problems in the N o r t h Sea. The author of the study makes a comparison to the Baltic Sea maritime boundaries. This is an excellent idea; the Baltic Sea, which is a semi-enclosed sea open to the N o r t h Sea, w i t h some of its coastal States bordering also the N o r t h Sea, seems to be an ideal reference point. The author gives a very well documented survey of maritime boundaries in the N o r t h Sea which are already settled or to be settled in relation to the territorial sea, continental shelf, and fishery zones. H e concludes that the Baltic has already taken the lead over the N o r t h Sea in delimitation of maritime boundaries. The next essay gives an assessment of the rôle of the Exclusive Economic Zone (EEZ), as an instrument of environmental management in the N o r t h Sea Area (in the N o r t h Sea, so far only France and Norway declared an EEZ). The author, having analyzed the environmental rights in the EEZ in the LOS Convention, rightly points out that there is a lack of clarity in its provisions. Further, he concentrates on dumping at sea, in the LOS Convention, Oslo Convention (1972) and London Dumping Convention ( L D C ) 1972. As for management of shipping in the EEZ, the author presents an extensive survey of M A R P O L 73/78. Furthermore, consideration is given to the Port State Control (1982) and finally, International N o r t h Sea Conferences. In conclusion, the author warns against too high expectations from the establishment of an EEZ. In comparison to the current situation, States would only benefit to a minor extent by acquiring broader EEZ competences. A t the same time, the establishment of an EEZ also has a political dimension which would enhance the prospects of entry into force of the LOS Convention. A vei j interesting topic is that of possible marine protected areas in relation to the N o r t h Sea. Obviously, the legal status of such areas is different depending on the kind of jurisdiction exercised over the particular sea areas in which they may be situated. The author of the essay presents a survey of international and national effects in relation to marine protected areas. In the N o r t h Sea, the number of such areas is limited. I t seems, however, that they are " . . . a viable option for conservation of the marine environment provided

36:·

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within an overall framework which provides guidance in coastal and sea use management" (p. 251). A very well documented and exhaustive essay on the conservation of wildlife in the N o r t h Sea points to the neglect suffered by this side of environmental protection. The wildlife in the N o r t h Sea is threatened by over-exploitation, pollution, destruction of habitat, and by deliberate and accidental catches. The legal framework for the conservation and protection of N o r t h Sea wildlife may be found primarily in the LOS Convention. Additionally, the bodies which regulate fisheries are the EC, the N o r t h East Atlantic Fisheries Commission ( N E A F C ) , International Council for the Exploration of the Sea (ICES), the International Whaling Commission (it protects large whales, whilst small cetaceans are not protected). Mention must be made of other international instruments such as the Convention on Trade in Endangered Species of W i l d Fauna and Flora (CITES) of 1973 (to which the EC is a party), the Convention on Wetlands of International Importance especially for Waterfront Habitat ( R A M S A R ) of 1971, the Convention Concerning the Protection of the W o r l d Cultural and Natural Heritage (World Heritage) of 1972, the Convention on the Conservation of Migratory Species of W i l d Animals (Bonn Convention) of 1979, and the N o r t h Sea Cetacean Agreement (in preparation). As for regional conventions, the author names the Convention on the Conservation of European Wildlife and Natural Habitats (Berne Convention) of 1979. The author also emphasizes the rôle of the U N E P and I U C N on a global level. The author rightly concludes that better participation, enforcement of existing conventions, and development of further international instruments, e.g. a convention on small cetaceans, is urgently required. From the point of view of the present author the above-mentioned statement should be a starting point for the discussion of problems concerning the conservation of wildlife rather than the LOS Convention, as suggested by the author of the essay, since the fate of this convention is uncertain. The next essay tackles the N o r t h Sea fisheries. I t gives a survey of catches in the period of 1962-1986 against the background of national practice. Recently, a growing instability could be noticed in stock levels for several major species under the sustained pressure of high fishing activity in conjunction w i t h relatively poor year classes. The worrisome situation in the N o r t h Sea calls for reasonable management solutions which should take into consideration the conflict between long-term goals of resource conservation and short-term economic and social requirements. The Common Fisheries Policy (CFP) combines two approaches: the setting of Total Allowable Catches (TACs) and a series of technical measures aimed at the reduction of the impact of the fishery upon immature stocks. The next essay deals w i t h atmospheric depositions which are a source of marine pollution. The atmosphere containments and pollutants are held in air in gaseous or particulate form and are deposited into the sea either by rain or fall out (these are e. g. lead, zinc, copper, mercury, cadmium, sulphur dioxide, carbon monoxide, D D T and PCBs). The author lists all treaties relevant to the N o r t h Sea: Convention for the Prevention of Pollution from Land-based Sources 1974 (the Paris Convention) and its Protocol on Atmosphere Inputs (1986) and the Convention for the Prevention of Marine Pollution by Dumping from Ships and Aircraft (the Oslo Convention) 1972 and its Protocol (1983). As the author rightly states, it is arguable that customary law principles are far too general to have a serious effect on the regulation of sea pollution by atmospheric deposition. Nevertheless the author states . . the international community has developed a rudimentary and residual system for protecting abuse of rights in the sphere of environment" (p. 290).

Book Reviews There are also general treaties dealing w i t h atmospheric pollution: the Convention on Long-Range Boundary A i r Pollution (1979) and its 1985 Protocol on reduction of sulphur dioxide emissions by 30 per cent from their 1980 levels by 1993 and Part X I I of the LOS Convention (both not yet in force). The author also presents extensively the role of the EC in combatting transboundary air pollution. What is needed now, the author says, is to clearly stress what effect air pollution has on the marine environment and to redefine Action Plans of the EC to ensure that future legislation in this field clearly embraces the maritime areas. A different type of discharge, radiological discharge, is the subject matter of the next essay. The international framework to combat radioactive waste can be found in the N o r t h Sea London Declaration of 1987. P A R C O M (established under Paris Convention) promotes action by joint measures to combat land-based pollution in which radioactive wastes are included. The role of the EC in this field is also extensive, although there is considerable room for greater co-operation and harmonization of the efforts of the EC and various organizations and other bodies concerned w i t h radioactive discharges to the marine environment (the most important is an improvement of the relations in P A R C O M between the EC Commission and the Member States). The last essay, on sea-management and planning in the N o r t h Sea, is very interesting. I t reviews a very extensive list of problems: key aspects of development of the uses and management (both of spatial organization and the marine environment as a whole); recent developments tending towards integration, including schemes relating to conflict among uses; and the evolution of N o r t h Sea management from the points of view of terms of uses and organization, technical, general and management approaches, and the validity of the N o r t h Sea as a management region. I n general management issues, as in all other essays, the role of the EC is stressed. The author reaches the interesting conclusion that an overall regional integrated management system is emerging for the N o r t h Sea which reflects all developments in this marine area. H e is a proponent of two managerial systems, one for coastal management and the other concerned w i t h water quality. CFP and environmental directives indicate a trend that the EC may become the lead organization for environmental management (with the ICES providing scientific aid). Finally, the editors of the book present the reader w i t h a very useful summary of the essays and suggest an umbrella treaty for the N o r t h Sea but only if it represents a net increase in the competences available to existing institutions. In conclusion, the book reviewed can be given a very high assessment. I t is certainly the most extensive study relating to the N o r t h Sea. The approach is interdisciplinary giving a very deep insight into the problems, and thus not confined exclusively to the legal issues. This collection of essays is a "must" for anyone interested in environmental protection, especially the protection of the marine environment. The contributors to the book are specialists of the highest level. One, of course, notices some repetition in the essays. The comparisons made w i t h the Baltic Sea are very useful, though unfortunately appearing only in two essays (Ehlers and Franckx). Considering the extensive description of the rôle of the EC, perhaps more should have been said about legal basis of external EC policy in the field of fisheries and the marine environment. Notwithstanding its few shortcomings, this is a very topical, useful book, encompassing the entire area of interest. Malgosia Fitzmaurice

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Book Reviews

Thomas Gehring / Markus Jachtenfuchs: Haftung und Umwelt: Interessenkonflikte im internationalen Weltraum-, Atom- und Seerecht (Völkerrecht und internationale Politik, Hrsg. Günther Doeker, Bd. 7), Frankfurt am Main u. a. 1988, 296 S., SFr 343,88. Die Monographie zweier Politologen und Doktoranden an der Freien Universität Berlin schlägt einen Bogen von den vertraglichen Haftungssystemen im Atomrecht, Weltraumrecht und Seerecht bis zu den gegenwärtigen Arbeiten der Völkerrechtskommission über die völkerrechtliche Haftung. I n der Einleitung über Völkerrecht und Politik (S. 11-28) geben sie ihren zunächst kritischen Ansatz gegenüber Entstehung und Wirkung des Völkerrechts in den internationalen Beziehungen zugunsten des politikwissenschaftlichen Ansatzes des amerikanischen Völkerrechts, wie es um Myres McDougal vertreten wird, auf. So steht im M i t t e l p u n k t der Untersuchung auch eine vom Völkerrecht vernachlässigte Frage: Welchen Einfluß nehmen die „internationalen Akteure" auf die Entstehung vertraglicher Haftungsnormen? Kapitelweise wird die Ausarbeitung des Haftungsrechts auf Staatenkonferenzen und in Fachausschüssen internationaler Organisationen in den vom Untertitel vorgegebenen Bereichen genau nachgezeichnet (S. 29-198). Es gelingt den Autoren herauszuarbeiten, wie die Interessenverbände etwa der Rückversicherer die Fortentwicklung der Haftungssysteme beeinflußten. I m Bereich der Haftung für schiffsbedingte Olschäden waren es die PI-Clubs (Protection and Indemnity Clubs), die Reederversicherungen, die naturgemäß im IMCO-Rechtsausschuß entscheidend mitwirkten. Die Autoren untersuchen schließlich die Haftung des Schädigers gegenüber der Staatenhaftung für Umweltschäden und kommen zu Recht zu dem Ergebnis, daß die Staaten einer völkerrechtlichen Haftung gegenüber ablehnend eingestellt sind (S. 231). Allerdings hat sich insoweit mit der antarktischen Mineralienressourcenkonvention und dem Entwurf der PrepCom für den Umweltschutz im Tiefseebodenbereich eine Wende angezeigt. Der Preis des Werkes verbietet eine Kaufempfehlung; wer aber über die Haftung in den Sonderkonventionen arbeitet und sich ausführlich über die Vorarbeiten informieren will, wird nicht umhin kommen, einen Blick in den Band zu werfen. J. Enno Härders

Detlef Merten (Hrsg.): Föderalismus und Europäische Gemeinschaften unter besonderer Berücksichtigung von Umwelt und Gesundheit, Kultur und Bildung ( = Schriften zum Europäischen Recht, Band 2). Duncker & H u m b l o t , Berlin 1990, 367 S., DM98,-. Daß das Thema „Föderalismus und Europäische Gemeinschaften" Ende der achtziger und Beginn der neunziger Jahre zu einer der zentralen europarechtlichen und europapolitischen Fragen wurde, hat mehrere Ursachen: zum einen haben die Gemeinschaften u. a. durch die Rundfunkrichtlinie von 1989 in einem sehr großzügigen Umgang mit der rechtlichen Kompetenzordnung in Europa in Kernbereiche der Zuständigkeiten insbesondere der deutschen Bundesländer eingegriffen. Sie taten dies zu einem Zeitpunkt, da die Länder nach den Debatten um das Zustimmungsgesetz zur Einheitlichen A k t e sehr sensibel für Kompetenzfragen waren une ,hren Einfluß auf gesamteuropäische Entscheidungsprozesse auszuweiten trachteten. H i n z u kommt, daß die Bundesrepublik Deutschland nicht mehr der einzige föderativ gegliederte Staat in der Gemeinschaft oder doch ihrem unmittelbaren Umfeld ist: M i t Spanien trat 1986 ein föderativ gegliederter Staat bei; in Belgien sind föderative Tendenzen unübersehbar, und mit Osterreich hat 1989 ein weiterer Bundesstaat

Book Reviews einen Aufnahmeantrag gestellt. Drittens haben sich zwischen der Ebene der E G und derjenigen der Mitgliedstaaten informelle Strukturen regionaler Kooperation gebildet, in denen sich eine Föderalisierung Europas mit noch ungewisser Zukunft andeutet. Eine politikwissenschaftliche und juristische Auseinandersetzung mit der insofern sehr facettenreichen und zukunftweisenden Problematik wird in dem von Detlef Merten herausgegebenen Tagungsband einen ungemein anregenden und materialreichen Ausgangspunkt finden. Der Band dokumentiert ein unter Leitung von Merten im März 1990 in Speyer durchgeführtes Symposium mit Beteiligung deutscher, österreichischer und spanischer Wissenschaftler und Praktiker. Er gewinnt durch die Wiedervereinigung Deutschlands, deren für das Thema wichtigster Aspekt: die Wiederherstellung der Länder, sich seinerzeit bereits deutlich manifestierte, eine auch zeitgeschichtlich besondere Note. Obgleich die 16 Referate und zwei Berichte aus Arbeitskreisen nur durch das Einfügen von vier Diskussionsberichten gegliedert sind, lassen sich fünf thematische Schwerpunkte unterscheiden: Die vier ersten Referate sind den allgemeinen Auswirkungen der EG-Rechtsetzung auf den Föderalismus in Deutschland, Osterreich und Spanien gewidmet. Merten (Deutsche Einheit und Europäische Einigung im Lichte des Föderalismus, S. 17-26) hält der EG ein „festina lente" entgegen: er plädiert für einen behutsamen Ausbau der Gemeinschaft unter Achtung der vertraglichen Grundlagen, insbesondere der Kompetenzverteilung und den Grundsätzen der vertraglichen Einzelermächtigung und der Erforderlichkeit. Schambeck (Vom Wesen und Wert des Föderalismus heute, S. 27-45) stellt sich den Föderalismus als Ordnungsprinzip vor und untersucht verfassungsrechtliche Fragen eines EG-Beitritts Österreichs (hierzu ergänzend auch der Diskussionsbericht S. 81-86). Er sieht gerade die föderalistisch strukturierten Staaten dazu aufgerufen, zu verhindern, „daß die EG zu einem zentralistischen Einheitsgebilde führt" (S. 42). Die besondere Situation Spaniens, gleichzeitig die Integration in die EG und die innerstaatliche Aufgliederung in Autonome Gemeinschaften zu vollziehen, wird von Algeria Borr as (S. 47-62) aufgezeigt. Oschatz behandelt die Konsequenzen der EG-Rechtsetzung für die deutschen Bundesländer (S. 63-80). Er verteidigt sowohl die — nicht unumstrittene — im Zustimmungsgesetz zur Einheitlichen Akte verankerte Mitsprachemöglichkeit der Länder über den Bundesrat als auch die Beteiligung sachkompetenter Ländervertreter in deutschen Delegationen in Brüssel. I m zweiten Block behandelt Torsten Stein das Thema „Europäische Integration und nationale Reservate" (S. 91-107); Paul Kirchhof referiert über „Rechtsschutz durch das Bundesverfassungsgericht und Europäischen Gerichtshof" (S. 109-123). Stein unterscheidet absolute (Gebietshoheit, Personalhoheit, Staatsgewalt) und relative Reservate (Wahlrecht, öffentlicher Dienst und Eigenstaatlichkeit der deutschen Länder). Zwar sieht er in bezug auf das letztgenannte Reservat die Länderhoheit noch nicht ernsthaft in Frage gestellt (S. 106), mahnt aber dennoch die Gemeinschaft, nicht durch Uberschreiten der Grenze dessen, „was den Mitgliedstaaten nach ihrer Verfassung möglich und damit zumutbar ist", die Einheitlichkeit und den Vorrang des Gemeinschaftsrechts in Frage zu stellen (S. 107). — „Das Grundgesetz ist eine strikte Rechtsordnung, die Staatsgewalt verfaßt und begrenzt; der EWG-Vertrag ist werdendes Recht, der eine supranationale Gewalt einzurichten und zu mehren sucht" — auf dem Hintergrund dieser Konfliktbeschreibung (S. 114) stellt Kirchhof die Arbeitsteilung zwischen Bundesverfassungsgericht und E u G H bei der Kollision zwischen deutschem Recht und Europarecht dar. Der Verfassungsmaßstab des gesetzlichen Richters ist für ihn das entscheidende Kriterium für die Zuständigkeit des Bundesverfassungsgerichtes (S. 123).

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I m dritten Block geht es um die Kompetenzen der Gemeinschaft in den Bereichen Kultur, Bildung, Gesundheit und Umwelt. Joseph H. Kaiser (Europäische Gemeinschaften und nationale Gesundheitspolitik, S. 137-145) zeigt, wie sich in der Gesundheitspolitik Organe der EG „ m i t beispielloser Nonchalance über Rechte der Mitgliedstaaten" hinwegsetzen und geht insbesondere mit dem Europäischen Parlament ins Gericht (S. 141 f.). Er mahnt deutlich an, über das Formulieren politischer Integrationsziele — mögen sie auch noch so breite Unterstützung finden — die Rechtlichkeit der M i t t e l zu ihrer Verwirklichung nicht unbeachtet zu lassen. Der sehr spritzige Beitrag von Schweitzer setzt dem in mancherlei Hinsicht nachgewiesenen „Kompetenzamok" (S. 156) eine detaillierte, minutiöse Analyse einzelner Kompetenzen im Bereich von K u l t u r und Bildung (S. 147-159) entgegen. Wägenbaur schließlich stellt die Rechtsprechung des E u G H auf den Gebieten Umwelt, Gesundheit, K u l t u r und Bildung vor (S. 161-173). I m vierten Block wird die Kompetenzverteilung in den genannten Bereichen in Osterreich und Spanien dargelegt. In ihrem Bericht über die — noch sehr junge und recht komplizierte — Kompetenzverteilung zwischen dem spanischen Staat und den 17 Autonomen Gemeinschaften (S. 183-211) kommt Maria Jesus Montoro Chiner zu dem Ergebnis, daß in den Bereichen, die den Autonomen Gemeinschaften vorbehalten sind, aufgrund der EG-Rechtsetzung eine allmähliche Rezentralisierung der Kompetenzen zu beobachten ist. Für Osterreich beleuchtet Schwarzer kritisch die geltende Kompetenzverteilung im Umweltrecht; er fordert eine grundlegende Reform (S. 213-220). Die letzten sechs Referate schließlich, zu denen man die Berichte aus den Arbeitskreisen hinzunehmen kann, richten den Blick sozusagen von unten nach oben, d. h. von einzelnen Sachgebieten oder aus der Länderperspektive auf die EG-Ebene. Holzel / Uber la (Krebserkrankungen im EG-Bereich aus epidemiologischer Sicht, S.221-235) zeigen, daß u.a. aus finanziellen und datenschutzrechtlichen Gründen für die Epidemiologie europaweite Regelungen wünschbar sind, betonen jedoch zugleich, daß „mehr Freiraum für regional begrenzte Aktivitäten für die Gesundheit der Bevölkerung" geschaffen werden muß. Der damalige Präsident des rheinland-pfälzischen Landtages, Heinz Peter Volkert (Landesparlamentarismus im Prozeß der Europäischen Einigung, S. 251-261) und der Beitrag von Walter Rudolf (Die Bundesländer und die europäische Einigung, S. 263-273) gehen u. a. auf Notwendigkeit und Ansätze einer verstärkten Mitwirkung der Bundesländer und einer „Kompetenzkompensation" nicht zuletzt durch informelle regionale und interregionale Zusammenarbeit ein. Friedrich Bauer (Osterreich und die europäische Integration, S. 274282) zeigt die verfassungsrechtlichen Konsequenzen auf, welche sich aus dem österreichischen Beitrittsgesuch von 1989 ergeben. Ebenso wie Rupert Scholz in wohl einem der letzten Beiträge zum Thema „Europäische Einigung und Deutsche Frage" (S. 283-296) weist er den Gedanken zurück, im Rahmen der E G eine europäische Sicherheitsunion zu schaffen. Der Band wird abgerundet durch vier vorzügliche Diskussionsberichte, den Abdruck von sieben Richtlinien, Richtlinienvorschlägen bzw. Entschließungen des Rates, an denen sich die Kompetenzfrage entzündete, sowie durch ein ausführliches Personen- und Sachregister. I n seinem Schlußwort legt Merten mit Nachdruck dar, worum es bei der europäischen Integration in den neunziger Jahren vor allem gehen muß: „Möglicherweise will aber populäres Engagement für »Demokratie' und gegen Krebs, für Vogelschutz und gegen Aids auch el· emotionalen Konsens finden als supranationale Kompetenz suchen" (S. 301). Es geht also letztlich um die Frage, ob europäische Politik in den neunziger Jahren durch populistische Programme sog. „Integrationsschübe" produziert oder aber auf der europäi-

Book Reviews sehen Grundlage des demokratischen Verfassungsstaates demokratische Legitimation und Rechtlichkeit der Integration anstrebt. Die Europäischen Gemeinschaften haben zur Festigung des demokratischen Verfassungsstaates und seiner Prinzipien erhebliches beigetragen, nicht zuletzt durch die Einbindung ihrer Mitgliedstaaten in eine supranationale Rechtsordnung. Der vorliegende Band macht jedoch nachdrücklich auf Defizite demokratischer und rechtsstaatlicher A r t aufmerksam. Zweifellos sind die Europäischen Gemeinschaften auf einen dynamischen Ausbau der europäischen Integration hin angelegt und insofern eine Rechtsordnung im Werden, welche auf eine das Fernziel der Politischen Union in den Blick nehmende politische Energie angewiesen ist. Doch darf dies nicht zum Dispens vom Recht als Grundlage der Integration führen. Denn „wer Recht und Rechtskontrolle zugunsten der Politik aufgeben will, offenbart rechtsstaatliches Defizit und beschwört totalitäre Gefahren" (so Merten, S. 305). So darf man (unter Mißachtung des Versmaßes) als Leitfaden künftiger Europapolitik den allzu zielorientierten und integrationsforschen Organen der E G einen römischen Grundsatz in leicht abgewandelter Form vorhalten: quidquid agis , prudenter agas, et respice fundamentum\ Klaus Dicke

Marc Roelandt : La c o n d i t i o n j u r i d i q u e des Pipelines dans le D r o i t de la Mer. Presses Universitaires de France (Publications de l'Institut Universitaire de Hautes Études Internationales — Genève), Paris 1990, 241 pp., N o price given. Wer sich bisher über die Rechtsstellung von Rohrleitungen im Seevölkerrecht informieren wollte, war auf wenige Beiträge angewiesen, die naturgemäß nur an der Oberfläche blieben. I n den Standardwerken des Seerechts ist oft nur der Wortlaut der einschlägigen Vorschriften der Genfer Ubereinkommen über die Hohe See (HSU) und über den Festlandsockel (FSU) von 1958 und des Seerechtsübereinkommens von 1982 (SRÜ) wiederholt. Die Abhandlung von Roelandt füllt daher eine Lücke, die angesichts der Tatsache, daß das Recht Rohrleitungen zu legen in den seerechtlichen Ubereinkommen als eine der Freiheiten des Meeres genannt wird, unverständlich ist. I m einleitenden Teil wirft Roelandt zunächst einen kurzen Blick auf die technischen Aspekte der Rohrleitungsverlegung. I m zweiten Kapitel folgt eine Übersicht über die vorhandenen Seerohrleitungen und deren wirtschaftliche Bedeutung. M i t dieser Darstellung, insbesondere mit der nach den Funktionen von Leitungen differenzierenden Bildung verschiedener Rohrleitungstypen, wird die Grundlage für das Verständnis mancher rechtlicher Probleme geschaffen. Das zweite Kapitel ist vor allem wegen der zahlreichen Skizzen und Karten außerordentlich anschaulich. Der zweite Teil mit den Kapiteln drei bis sechs bildet den Schwerpunkt der Arbeit. Hier untersucht Roelandt die Rechtsstellung von Rohrleitungen im Völkerrecht auf der Grundlage der Genfer Übereinkommen und des Seerechtsübereinkommens. Zunächst unternimmt Roelandt den Versuch, den Begriff „Rohrleitung" zu definieren. Hierbei werden die innerhalb eines Feldes verlegten Rohrleitungen den in A r t . 56 Abs. 1 b) SRÜ genannten „Anlagen und Bauwerken" zugeordnet. Dies hat zur Folge, daß diese Rohrleitungen grundsätzlich dem A r t . 60 S R Ü unterfallen. A u f andere Rohrleitungen, z. B. Hauptleitungen, die von einem Vorkommen an Land führen, soll dagegen nur A r t . 79 S R Ü anwendbar sein. Leider versucht Roelandt sich nicht an einer Interpretation des A r t . 79 Abs. 4 SRÜ, obwohl diese Vorschrift die einzige substantielle Neuerung im Vergleich zu

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A r t . 4 FSÜ und A r t . 26 Abs. 2 H S Ü ist. Möglicherweise hätte Roelandt bei einer näheren Auseinandersetzung m i t dieser Vorschrift Feldleitungen nicht unter die Begriffe „Anlagen und Bauwerke" gefaßt, da die in A r t . 60 S R Ü genannten Maßnahmen auch auf die weit formulierten Rechte des Küstenstaates nach A r t . 79 Abs. 4 S R Ü gestützt werden können. Eine Subsumtion von Rohrleitungen unter die Begriffe „Anlagen und Bauwerke" ist also nicht nur praktisch ohne Bedeutung, sondern steht auch einer klaren Abgrenzung zwischen Anlagen und Bauwerken einerseits und Rohrleitungen andererseits entgegen. Das Recht zum Legen von Rohrleitungen wird von Roelandt im vierten Kapitel jeweils für die einzelnen Meereszonen dargestellt. Dabei nehmen die Ausführungen zum Verlegungsrecht im Bereich des Festlandsockels und in der ausschließlichen Wirtschaftszone den größten Raum ein. Insgesamt ist die Darstellung — nicht nur in diesem Abschnitt — eher abstrakt. So wichtig grundsätzliche Erörterungen auch sind, so muß doch berücksichtigt werden, daß die seerechtlichen Ubereinkommen die Ergebnisse nicht rein juristischer, sondern eher wirtschaftspolitischer Beratungen sind und die Praxis zu Recht Antworten auf praktische Fragen erwarten darf. Ein Schlaglicht auf den eher theoretischen Ansatz wirft die gemeinsame Behandlung beider Meereszonen im vierten Kapitel, die hier herausgegriffen werden soll. Die Zusammenfassung ist zwar im Ergebnis sachgerecht, doch wäre vorab eine Darstellung des Verhältnisses der Meereszonen wünschenswert gewesen, da gerade in bezug auf Rohrleitungen die sog. Dualität der Meereszonen problematisch ist: für Rohrleitungen diesseits der Grenze der ausschließlichen Wirtschaftszone scheint die Anwendung des A r t . 79 SRÜ, der dem Küstenstaat nur begrenzte Rechte einräumt, in einem Widerspruch zu den ungleich weitergehenden Rechten des A r t . 56 SRÜ zu stehen. Roelandt löst das Problem aufgrund einer Interessenabwägung, die zu einer entsprechenden Anwendung des A r t . 79 S R Ü auch im Bereich der ausschließlichen Wirtschaftszone führt. Dabei geht Roelandt ohne weiteres davon aus, daß A r t . 79 nur Leitungen betrifft, die auf dem Meeresboden verlegt worden sind, jedoch nicht die in der Wassersäule befindlichen Leitungen. Diese Prämisse ist so zweifelhaft wie die praktische Relevanz des Problems, da es keine schwimmenden oder auf Stützkonstruktionen verlegte Rohrleitungen gibt und eine derartige Verlegung aus technischen und wirtschaftlichen Gründen auch nicht sinnvoll erscheint. Einige wichtige praktische Probleme läßt Roelandt leider außer Betracht. So erörtert Roelandt nicht, welche konkreten Maßnahmen nach A r t . 79 Abs. 2 SRÜ möglich sind, ob Sicherheitszonen um Rohrleitungen eingerichtet werden können, in welchem Verhältnis Rohrleitungen und andere Meeresnutzungen zueinander stehen, welchen Status Pump- und andere Begleitinstallationen von Rohrleitungen haben, ob die Verlegung militärisch genutzter Rohrleitungen zulässig ist und welchen Status Rohrleitungen im Kriegsrecht haben. Schließlich fehlt ein Hinweis auf die jeweils gleichlautenden A r t . 3 des deutsch-dänischen und des deutsch-niederländischen Vertrages über die Abgrenzung der Festlandsockel vom 28. Januar 1971, wonach Rohrleitungen jeweils den Bestimmungen derjenigen Vertragspartei unterliegen, über deren Festlandsockel hinweg sie verlegt werden. I m fünften Kapitel, in dem es um die Unterhaltung von Rohrleitungen geht, behandelt Roelandt die über Rohrleitungen bestehenden Hoheitsbefugnisse, den Schutz von Rohrleitungen nach A r t . 113 bis 115 S R Ü und Fragen der Verschmutzung der Meeresumwelt durch Rohrleitungen. Insgesamt ist die Aufgliederung zwischen der Darstellung des Verlegungsrechts im vierten und der Unterhaltung im fünften Kapitel nicht ohne weiteres nachvollziehbar, da

Book Reviews sich eine derartige Unterscheidung in dem Verbot des A r t . 79 Abs. 2 SRÜ, das Legen oder die Unterhaltung von Rohrleitungen nicht zu behindern, nicht findet. I m abschließenden sechsten Kapitel des zweiten Teils wendet sich Roelandt der Frage zu, ob Rohrleitungen nach Ende ihrer Benutzung vom Meeresboden entfernt werden müssen. Während Roelandt für den Bereich der Küstengewässer für eine Entfernungspflicht eintritt, sofern das Verbleiben von Leitungen zu Beeinträchtigungen der Schiffahrt führen kann, kommt er für den Festlandsockel und die ausschließliche Wirtschaftszone zu dem Ergebnis, daß nur kurze Feldleitungen entfernt werden müssen, da sie unter die Begriffe „Anlagen und Bauwerke" i. S. d. A r t . 5 Abs. 5 FSÜ und A r t . 60 Abs. 1 SRÜ fielen. O b sich eine Entfernungspflicht für die ausschließlich unter A r t . 79 SRÜ fallenden Rohrleitungen aus A r t . 79 Abs. 2 SRÜ, den Vorschriften über den Meeresumweltschutz, insbes. A r t . 208 und 210 SRÜ bzw. den Vorläufern dieser Vorschriften in den Übereinkommen von Oslo und London oder dem allgemeinen Rücksichtnahmegebot des A r t . 87 Abs. 2 SRÜ ergeben kann, wird von Roelandt leider nicht näher erörtert. I m dritten Teil (siebentes und achtes Kapitel) wendet sich Roelandt einer Darstellung des Rohrleitungstransportes in der Nordsee zu. I m ersten Abschnitt des siebenten Kapitels werden die bilateralen Verträge über die Ekofisk-Leitungen vom norwegischen Festlandsockel nach Teesside und Emden zwischen Norwegen und Großbritannien und Norwegen und der Bundesrepublik Deutschland und über die Frigg-Leitungen von dem grenzüberschreitenden Frigg-Vorkommen nach Großbritannien zwischen Norwegen und Großbritannien dargestellt. I m zweiten Abschnitt schlägt Roelandt vor, einen internationalen Code über den unterseeischen Rohrleitungstransport zu schaffen. Diesem Vorschlag liegt die Auffassung zugrunde, den Verträgen über die in der Nordsee verlegten Rohrleitungen könnten deutliche Gemeinsamkeiten entnommen werden, so daß von einem Gewohnheitsrecht gesprochen werden könne. Dieser Auffassung kann nicht gefolgt werden. Roelandt liegen nur die Verträge über die Ekofisk-Leitungen zwischen Norwegen und Großbritannien bzw. Deutschland und der Frigg-Vertrag zwischen Norwegen und Großbritannien vor. Diese Verträge enthalten zwar im wesentlichen die gleichen Regelungsgegenstände, doch unterscheiden sich die Regelungen nicht unerheblich voneinander. Berücksichtigt man, daß eine Arbeit über Rohrleitungen in besonderem Maße praktischen Problemen verbunden sein muß, um nicht den Eindruck entstehen zu lassen, sie verfolge einen allein im Abstrakten angesiedelten Selbstzweck, so wäre an dieser Stelle zu berücksichtigen gewesen, daß von Seiten der Rohrleitungsbetreiber eine internationale Konvention nicht für erforderlich gehalten wird. Diese Auskunft wird jedenfalls von den beteiligten Wirtschaftsunternehmen einmütig erteilt. I m achten Kapitel gibt Roelandt eine Übersicht über die Gesetzgebung der an der Ausbeutung der Nordsee beteiligten Staaten. Ein engerer Zusammenhang des nationalen Rechts mit den Bestimmungen der seerechtlichen Übereinkommen wäre geknüpft worden, wenn die nationalen Bestimmungen statt in einer konzentrierten Zusammenstellung in einem eigenen Abschnitt exemplarisch in Verbindung mit den einzelnen Problemen der Rohrleitungsverlegung und -Unterhaltung genannt worden wären. Hierbei wäre allerdings die Vollständigkeit, die Roelandt zugute gehalten werden muß, verlorengegangen. I n einer Reihe von Fragen wird man dem A u t o r widersprechen können. Dies bedeutet aber keine K r i t i k an dem wissenschaftlichen Verdienst, das Roelandt sich durch die erste monographische Behandlung dieses Themas erworben hat. Der Grund liegt vielmehr darin, daß die Unsicherheiten in diesem Bereich noch außerordentlich groß sind und die Behänd-

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lung mancher Fragen, wie z. B. die Rechtsstellung von Rohrleitungen in Archipelgewässern, deren praktische Relevanz der A u t o r sehr zu Recht selbst bezweifelt, die Gefahr birgt, den Charakter eines juristischen Glasperlenspiels anzunehmen. Wolfgang Wiese

Niels-Jürgen Seeberg-Elverfeldt: Die Streitbeilegung im Tiefseebergbaurecht (Das geltende Seevölkerrecht in Einzeldarstellungen, Bd. 14). Nomos Verlagsgesellschaft, BadenBaden 1986, X V I + 185 S., D M 4 7 , - . Es ist zwar derzeit nicht abzusehen, wann die Seerechtskonvention in Kraft treten wird. Aber bereits jetzt hat sie in Teilen einen ganz wesentlichen Einfluß auf die Staatenpraxis, so daß vereinzelt von der Bildung entsprechenden Völkergewohnheitsrechts ausgegangen wird. Diese Entwicklung kann die ausführlichen Regelungen der Seerechtskonvention zur Streitbeilegung jedoch nicht erfassen, ihr Inkrafttreten ist von dem Inkrafttreten der Konvention abhängig. Dabei ist dem A u t o r zuzustimmen, daß die Entwicklung des Streitbeilegungsregimes durch die 3. Seerechtskonferenz der Vereinten Nationen eine ganz wesentliche innovatorische Leistung bedeutet, die wertvolle Impulse auf die Entwicklung der internationalen Gerichtsbarkeit ausstrahlen könnte. Der Darstellung und Analyse der Seerechtskonvention kommt insoweit eine besondere Bedeutung zu. I n seiner Darstellung beschränkt sich der Verf. auf die Streitbeilegung im Tiefseebergbaurecht. Damit wird nur ein Teilaspekt erfaßt, wesentliche Bereiche des von dem Seerechtsübereinkommen geschaffenen Streitbeilegungssystems bleiben damit ausgeklammert. Dies ist insofern bedauerlich, als der Gesamteindruck verloren geht. Dem Verf. ist allerdings zuzugeben, daß die Regelungen für den Tiefseebergbau einen eigenständigen Charakter haben. Der Verf. mußte sich zudem auf Fragen wie Gerichtsaufbau, Richterwahl, Parteien und Jurisdiktion beschränken, da die Verfahrensregeln selbst noch nicht vorliegen. Die Arbeit gliedert sich in ein einleitendes Kapitel, das kurz die Entstehungsgeschichte des Streitbeilegungssystems skizziert, sowie vier weitere Kapitel: Gerichtsverfassung der Kammer für Meeresbodensachen, Verfahrensbeteiligte, Zuständigkeiten und Verfahren (Lösungsansätze). Der Verf. unterteilt die Streitbeilegungsfunktionen der Kammer für Meeresbodensachen in drei Gruppen (S. 30). Die Abgrenzung bleibt aber etwas unklar. So sollten beispielsweise die Streitigkeiten zwischen Staaten über die Auslegung oder Anwendung von Teil X I und seiner Annexe nicht mit einer Streitigkeit zwischen Staaten und der Internationalen Meeresbodenbehörde über die Auslegung und Anwendung von Teil X I gleichgestellt werden. Denn im letztgenannten Fall handelt es sich um eine Rechtsaufsicht, und hieraus ergeben sich gewisse Besonderheiten (vgl. hierzu S. 92 ff.). N i c h t ganz klar wird auch die Abgrenzung von Gruppe 1 und 3. Weitere Einzelheiten und eine schärfere Abgrenzung ergeben sich aus den S. 75 ff. Wesentliche Aufmerksamkeit widmet das Werk der sachlichen und persönlichen Unabhängigkeit der Richter sowie der Zusammensetzung der Richterbank (S. 34 ff.). Dabei sind vor allem die zu dem I G H und E u G H gezogenen Parallelen aufschlußreich. Bei der Frage nach dem potentiellen Verfahrensbeteiligten spricht der Verf. Vertragsstaaten, internationale Organisationen, die Internationale Meeresbodenbehörde, das Enterprise sowie Private an. Erwähnt wird gleichfalls, daß Streitigkeiten zwischen der Behörde

Book Reviews und dem Enterprise nicht vor der Kammer für Meeresbodensachen ausgetragen werden (S. 61,116/117). Diese Lösung ist nicht nur unter Praktikabilitätsgesichtspunkten zu sehen und hätte durchaus einer grundsätzlichen K r i t i k unterzogen werden können. Der Schwerpunkt der Ausführungen liegt zutreffend auf der Verfahrensbeteiligung Privater. Hierin liegt eine der wesentlichen Innovationen der Seerechtskonvention. Das Seerechtsübereinkommen schränkt die Jurisdiktion der Kammer für Meeresbodensachen unter zwei Gesichtspunkten ein. Verboten wird die Uberprüfung von Ermessensentscheidungen sowie von Sekundärrecht (vgl. dazu S. 93 ff.). Hier hätte vielleicht stärker auf die Diskussionen auf der 3. U N Seerechtskonferenz eingegangen werden können, der K r i t i k des Verf. an diesen Einschränkungen ist allerdings zuzustimmen. Insgesamt sind aber die Ausführungen zu diesem Komplex ,Verfahren' (Kap. I V ) — es macht über ein D r i t t e l der Arbeit aus — außerordentlich detailliert und informativ. Der Wert dieser Dissertation liegt darin, daß sie zuverlässig über Aufbau und Kompetenzen der künftigen Kammer für Meeresbodensachen informiert. Die Bezüge zum E u G H und I G H beleuchten systematisch zutreffend, welcher Stand mit der Streitbeilegung im Tiefseebergbaurecht erreicht worden ist. I n der Praxis — sollte es zu dieser kommen — wird die Arbeit zum Einstieg in die Praxis des Seegerichtshofs von großem Nutzen sein. Rüdiger Wolfrum

Interamerican Commission on Human Rights / Inter american Court of Human Rights (eds.): Interamerican Yearbook on H u m a n Rights / Anuario interamericano de derechos humanos 1987. Martinus Nijhoff Publishers, Dordrecht / Boston / London 1990, X I I I + 915 pp., Dfl.450,-. Das Sekretariat der interamerikanischen Kommission für Menschenrechte und des interamerikanischen Menschenrechtsgerichtshofes legt mit dem (in dieser Form dritten) Band des Jahrbuches eine komplette Dokumentation der Entwicklung des interamerikanischen Menschenrechtsschutzes im Jahre 1987 vor. Das zweisprachige (englisch / spanisch) Jahrbuch ist in vier Teile gegliedert: Teil I enthält einige allgemeine Informationen über die Zusammensetzung und Sitzungen der Organe sowie einen Status der amerikanischen Menschenrechtskonvention einschließlich der Vorbehalte und interpretierenden Erklärungen. Die Teile I I und I I I dokumentieren die Tätigkeit der Kommission und des Gerichtshofes; Teil I V besteht aus vier Resolutionen der Generalversammlung der O A S zu Menschenrechtsfragen, darunter die Aufforderung an den Rat, das (inzwischen vorliegende) Zusatzprotokoll über ökonomische, soziale und kulturelle Rechte nach Vorarbeiten der Kommission zu erstellen sowie die Aufforderung an die Mitgliedstaaten, zu einem Verbot der Todesstrafe durch ein weiteres Zusatzprotokoll Stellung zu nehmen und an den Rat, ein entsprechendes Dokument vorzubereiten. Die Kommission hat im dokumentierten Zeitraum 16 Petitionen für zulässig erklärt (S. 16-345); die meisten — sieben — richteten sich gegen Peru, zwei auch gegen die Vereinigten Staaten. I m Anschluß an die entsprechenden Resolutionen sind — m i t einer kurzen Einführung — Folgeberichte zur Lage der Menschenrechte in Kuba, Chile, El Salvador, Guatemala, H a i t i , Nicaragua und Surinam (S. 346-489) abgedruckt (die Erstberichte im Yearbook 1985; vgl. die Besprechung des Verf. in: G Y I L 30 (1989), 428).

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A n den Gerichtshof wurden 1987 von der Kommission und von Uruguay je ein Ersuchen um ein Rechtsgutachten gerichtet (S. 736-749). I n einem von der Kommission erbetenen Rechtsgutachten (S. 772-813) befaßte er sich mit der Frage, ob die Habeas Corpus-Rechte aus A r t . 7 Abs. 6 und A r t . 25 Abs. 2 der Konvention den Bestandsschutz des A r t . 27 Abs. 2 genießen. Der Gerichtshof bejahte die Frage. I n drei weiteren Entscheidungen befaßte er sich m i t vorläufigen Einwendungen der Regierung in drei gegen Honduras anhängigen Fällen. I n keinem Fall führten die Einwendungen zum Abschluß des Verfahrens. Klaus Dicke

Otto Kimminich'. Religionsfreiheit als Menschenrecht. Untersuchung zum gegenwärtigen Stand des Völkerrechts ( = Wissenschaftliche Kommission des Katholischen Arbeitskreises Entwicklung und Frieden (Hrsg.): Entwicklung und Frieden, Wissenschaftliche Reihe 52), Matthias Grünewald-Verlag, Christian Kaiser Verlag, Mainz / München 1990, 231 S., DM29,80. Der internationale Menschenrechtsschutz hat seit dem Zweiten Weltkrieg eine insgesamt beachtliche Regelungsdichte auf universaler und regionaler Ebene erfahren. Dies hat nicht zuletzt dazu beigetragen, daß Menschenrechte heute zum Kern der ins Völkerrecht inkorporierten internationalen Wertordnung gehören. Andererseits ist dadurch jedoch die Frage nach dem jeweiligen Schutzumfang einzelner Menschenrechtsverbürgungen nicht unerheblich komplizierter geworden. Da Monographien über einzelne Menschenrechte nur in geringer Zahl vorliegen, k o m m t der Gesamtdarstellung des völkerrechtlichen Schutzes eines Freiheitsrechtes modellhafte Bedeutung zu. Eine solche modellhafte Gesamtdarstellung legt Kimminich zur Religionsfreiheit vor, die nicht nur aus historischen Gründen, sondern vor allem aufgrund der Bedeutung der Religion für eine sinnvolle Lebensgestaltung des Menschen insgesamt „ i m Kreise der Menschenrechte einen besonderen Platz einnimmt" (S. 78). Er gliedert seine Darstellung in sechs Kapitel. Zunächst wird unter der Uberschrift „Völkerrecht und Religionsfreiheit" eine kurze Einführung in Entwicklung und Begriff des Völkerrechts und historische und systematische Aspekte der Religionsfreiheit gegeben (S. 11-47). Dabei geht der Verf. besonders auf die in der Tat wichtige Erklärung des II. Vatikanischen Konzils zur Religionsfreiheit vom 7. Dezember 1965 ein, in der sich die katholische Soziallehre dem modernen Menschenrechtsdenken öffnete. Es folgt ein historischer und völkerrechtlicher Uberblick über die Entwicklung des internationalen Menschenrechtsschutzes (S. 48-63). I n einem — wiederum historisch eingeführten — rechtstheoretischen Kapitel wendet er sich den Fragen nach Umfang, Inhalt und Sonderstellung der Religionsfreiheit, dem Verbot der Diskriminierung aus religiösen Gründen und den Schranken der Religionsfreiheit zu (S. 64-91). Ausführlich wird dabei die Religionsfreiheit als Individual- und Gruppenrecht sowie als Moment einer „objektiven Wertordnung" herausgearbeitet; den institutionellen Sicherungen wird gebührende Aufmerksamkeit geschenkt. In den beiden folgenden Kapiteln wird der Schutz der Religionsfreiheit in universalen (S. 92-144) und regionalen (S. 145186) Instrumenten dargestellt, wobei kriegsrechtliche Instrumente und die Deklaration der UN-Generalversammlung über die Beseitigung aller Formen von Intoleranz und Diskriminierung aufgrund der Religion oder der Uberzeugung vom 25.11.1981 sowie im regionalen Kontext einschlägige KSZE-Dokumente bis zum Wiener Schlußdokument einbezogen werden. I n einer — knappen — Schlußbetrachtung hebt Kimminich die beim völkerrechtli-

Book Reviews chen Schutz der Religionsfreiheit geradezu ins Auge stechende Friedensfunktion des Rechts hervor: das Recht der Religionsfreiheit stehe in unmittelbarem Zusammenhang m i t der „allgemeinen Friedenspflicht der Staaten"; sein völkerrechtlicher Schutz beruhe „auf juristischen Erkenntnissen, und zwar vor allem auf dem zunehmenden Bewußtwerden des Zusammenhangs zwischen Religionsfreiheit und Frieden" (S. 188,189). I m Anhang sind 16 Dokumente in chronologischer Reihenfolge abgedruckt; es finden sich die behandelten Rechtsnormen, die Deklaration der UN-Generalversammlung und Auszüge aus der KSZESchlußakte sowie die Erklärung des II. Vaticanum und zwei Botschaften Papst Johannes Pauls II. Die ebenso informative wie anregende Studie ist aus einer bewußt katholischen Perspektive geschrieben. Es geht Kimminich u. a. darum zu zeigen, daß die Aussagen der katholischen Soziallehre zur Religionsfreiheit mit deren völkerrechtlichem Schutz kompatibel sind, wenn er auch durchaus deutlich macht, daß zwischen der Ebene theologischer Deutungen und juristischer Verbürgungen deutlich zu unterscheiden ist (z.B. S. 84, 98, 118). Z u Recht kritisiert der Verf. die sehr häufig begegnende Einschätzung der Religion als „Privatsache" (vgl. S. 99) und hebt die öffentlichen Aspekte der Freiheit des Bekenntnisses und der Ausübung der Religion hervor. Klaus Dicke

Natan Lerner: G r o u p Rights and D i s c r i m i n a t i o n i n I n t e r n a t i o n a l Law. Martinus Nijhoff Publishers, Dordrecht / Boston / London 1991, 181 S., Dfl. 125,-. Das Werk versteht sich als ein Handbuch über den völkerrechtlichen Schutz von Gruppen. Es richtet sich an Studenten und ist offenbar als Grundlage für entsprechende menschenrechtliche Seminare und Vorlesungen konzipiert. N i c h t zuzustimmen ist dem Verf., wenn er sagt, die Literatur auf diesem Gebiet sei spärlich. I m Gegenteil, es gibt ein umfangreiches völkerrechtliches Schrifttum zu dem angesprochenen Themenkomplex. Ich verweise nur auf die Werke von Delbrück, McKean, Vierdag, Bossuyt, Dyke , Goewal, Kimminich, die allerdings nur teilweise Berücksichtigung in den Literaturnachweisen des Werkes gefunden haben. Die Gliederung unterscheidet vier Teile unterschiedlicher Länge mit folgenden Uberschriften: Group Rights and Discrimination (Teil I), S. 5-42; The Main Grounds for Discrimination (Teil II), S. 45-96; The Protection of Specific Groups (Teil I I I ) , S. 99-138; The Protection of Specific Rights (Teil IV), S. 139-167. Diese Überschriften sind allerdings nur sehr begrenzt aussagekräftig, zudem gibt es vielfach Überschneidungen und Wiederholungen. Teil I gibt einen Abriß über die völkerrechtliche Entstehung des Minderheitenschutzes, wobei gleichzeitig die Entwicklung des Minderheitenbegriffes beleuchtet wird. Ebenso werden in diesem Zusammenhang der Inhalt von Gruppenrechten und des Diskriminierungsverbots erläutert. Der Verf. verzichtet darauf, den verschiedenen Definitionen des Minderheitenbegriffes eine neue hinzuzufügen, vielmehr favorisiert er den seiner Meinung nach weiteren Begriff der Gruppe. Auch insoweit wird aber auf eine Definition verzichtet, da nach Ansicht des Autors entscheidend die Gruppenzugehörigkeit ist, die sich nach der Einschätzung des Betroffenen und der Einschätzung des weiteren Gruppenumfeldes bestimmt (S. 34). Es ist dem Verf. ohne weiteres einzuräumen, daß bislang im Völkerrecht über den Minderheitenbegriff keine Einigung zu erzielen war. Die völkerrechtliche Vertrags-

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praxis, mit der sich der Verf. in den folgenden Teilen auseinandersetzt, hat diese Schwierigkeit zu überwinden gewußt. Insofern ist es fraglich, was mit dem Ersatz des Begriffes Minderheit durch Gruppe zu gewinnen ist. Die dadurch bedingte Ausweitung des Schutzsubjekts birgt vielmehr die Gefahr, daß das Schutzbedürfnis von nationalen und ethnischen Minderheiten, der sich aus der Unterlegenheit gegenüber dem Mehrheitsvolk ergibt, relativiert wird. Teil I I beschreibt zunächst — was man unter der Überschrift nicht vermuten würde — den Inhalt und die Wirkungsweise der Konvention gegen jede Form von Rassendiskriminierung. I m M i t t e l p u n k t der Ausführungen stehen der Diskriminierungsbegriff sowie die Verpflichtungen der Vertragsstaaten. Einzelne Probleme der Konvention werden angesprochen, aber nicht vertieft. So hätten zum Beispiel weitere Ausführungen zu dem Verhältnis von Rassendiskriminierungsverbot und allgemeinen Menschenrechtsverbürgungen gemacht werden können. Die Aussage, das Verbot, zum Rassenhaß aufzurufen, zwinge die Staaten nicht, die Meinungsfreiheit einzuschränken (S. 53), ist so nicht zu halten. Ebenfalls in diesem Teil werden die Deklaration gegen Intoleranz und religiöse Diskriminierung behandelt. Unklar sind hierbei die Aussagen über die Rechtsqualität dieser Deklaration „As w i t h other U N declarations, it does have certain legal effects and exerts a high degree of expectation of obedience by members of the international community to the extent that it may eventually be considered as stating rules of customary international law" (S. 89). Wenn dies zuträfe, so wären die Arbeiten an einer Konvention, die der Verf. selbst anspricht, weniger dringlich. Teil I I I behandelt einzelne besondere Gruppen, die besonderen Schutz genießen oder genießen sollen (Ureinwohner) oder besondere Formen der Diskriminierung wie Apartheid und Antisemitismus. Die beiden letztgenannten Gesichtspunkte wurden bereits unter Teil I I angesprochen. Einen besonderen Informationswert besitzt die Darstellung über die I L O Konventionen 107 und 169 über den Schutz von Ureinwohnern. Teil I V geht schließlich unter der Überschrift ,The Protection of Specific Rights' z. B. auf die Völkermordkonvention, die U N E S C O - K o n v e n t i o n gegen Diskriminierung bei der Erziehung, die UNESCO-Erklärung über Rassenfragen und Rassenvorbehalte sowie,affirmative action' ein. Diese Punkte haben nur wenig Gemeinsames. Der Wert des Werkes liegt mehr in seiner aktuellen Information über Vertragsinhalte als deren systematischer und dogmatischer Aufarbeitung. Rüdiger Wolfrum

Dominic McGoldrick: The H u m a n Rights Committee: Its Role in the Development of the International Covenant on Civil and Political Rights. Clarendon Press, Oxford 1991, X L V I + 576 pp., £ 60.00. This is a welcome addition to the growing literature on the United Nations Human Rights Committee ( H R C ) , a body of 18 experts established in 1977 following the entry into force of the International Covenant on Civil and Political Rights, and which some observers believe is gradually emerging as an international court of human rights. The author is a lecturer at law at the University of Liverpool. His book represents a revised and updated version of a 1988 doctoral thesis at the University of Nottingham, covering up to the Committee's 39th session in July of 1990. A t the time of writing this

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review (July 1991), the Committee, which meets three times a year, has concluded its 42nd session. Although the goal is universal recognition of and participation in the Covenant, only 95 of the 165 States members of the United Nations have ratified or acceded to it. Fifty-five of them have become parties t o the Optional Protocol, which establishes a procedure whereby individuals who claim to be victims of violations of their Covenant rights may submit complaints to the Committee for examination. W i t h so many commissions and committees in the field of human rights, it is useful to place the U N H u m a n Rights Committee in perspective. As Ian Brownlie notes in his preface, " i n an institutional setting, it is the universalist counterpart to regional organs such as the European Commission und European Court of Human Rights, and the interAmerican organs". But, it is not the only "universalist" organ in the field. Many, for instance, confuse it w i t h the U N Commission on Human Rights, which is a functional commission of the Economic and Social Council, established pursuant to Article 68 of the U N Charter, and hence a more political than juridicial body. The Commission is composed of members from 53 States, unlike the H R C , in which the 18 members sit in their individual capacities as experts. Yet another functional commission w i t h important standard-setting and monitoring tasks is the Sub-Commission on Prevention of Discrimination and Protection of Minorities. The H R C is wholly independent of these bodies and reports to the General Assembly. Besides functional commissions established by resolution, there are other important United Nations treaty bodies whose mandates partly overlap w i t h that of the H R C , namely the Committee on the Elimination of Racial Discrimination, the Committee Against Torture, and the Committee on the Rights of the Child. Perhaps it would have been useful for the reader if the author had drawn some parallels to these important bodies, which do not even figure in the index. The first two, for instance, also have individual complaints procedures and are creating interesting jurisprudence. The author does make brief mention of the Committee on Economic, Social and Cultural Rights, which was established in 1985 and modelled after the H R C . The book's thirteen chapters cover the origins, drafting and significance of the International Covenant on Civil and Political Rights, the establishment and functions of the H R C , the procedure of State party reporting, the individual complaints procedure under the Optional Protocol, as well as a survey of the Committee's pronouncements on the following Articles of the Covenant: 1 (self-determination), 2 (effective remedies), 4 (derogation), 6 (right to life), 7 (torture), 14 (guarantees of a fair trial), 19 (freedom of opinion and expression), and 20 (prohibition of war propaganda). This reviewer does not understand the reasoning behind the author's selection of these Articles, and would encourage him to continue his work and to bring a revised and enlarged edition in which other Articles are similarly subject to analysis and commentary, including such important provisions as Article 10 (conditions of detention), 12 (freedom of movement), 13 (expulsion of aliens), 17 (right to privacy), 18 (freedom of religion), 21 (freedom of association), 25 (access to public service), 27 (minority rights), and, perhaps the most fundamental of them all, Article 26 (the autonomous right to non-discrimination). One of the functions of the Committee is to examine reports submitted by States parties pursuant to Article 40 of the Covenant. I n periodic intervals of five years, States are expected t o show what legislative, judicial or administrative measures they have adopted or

3 G Y I L 34

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are now taking to make Covenant rights real. The author succeeds in conveying a clear impression of how these reports are examined, aptly sprinkled w i t h quotations from the summary records. H e also discusses the scope of the H R C ' s authority to request ad hoc reports under Article 40 (1) (b) of the Covenant (pp. 69-71), a procedure which was used in response to the assassination of the Chairman of the H u m a n Rights Commission of El Salvador, and which may prove to be useful in the future. The author further notes that the record of submission of second and third periodic reports has been disappointing, 30 second periodic and 20 periodic reports being overdue in July 1990. Still, the periodic exchange of views w i t h States representatives provides the Committee w i t h a direct way of monitoring and influencing legislation and practice in States parties and allows Committee members to address the whole spectrum of Covenant rights, including controversial issues such as abortion, which are yet to be examined under the Optional Protocol procedure (pp. 330331). Another activity of the Committee consists of issuing "General Comments" under Article 40, paragraph 4, of the Covenant. Such comments contain interpretations of the scope and meaning of Covenant provisions and thus constitute a valuable commentary elucidating the inevitable ambiguities in the text of the Covenant. The comments also draw attention to certain shortcomings of State reports, indicating issues that should be addressed or expanded upon by States parties in their reports. Thus far the Committee has adopted general comments relating to Articles 1, 2, 3, 4, 6 (two comments), 7, 9, 10, 14,17, 19, 20, 23 and 24. I t has also adopted a general comment on the position of aliens under the Covenant, focussing in particular on the right of aliens to freedom of movement under Article 12, and on the protection of aliens under Article 13 from arbitrary expulsion. The Committee has also adopted a general comment on non-discrimination, covering the relevant clauses contained in Articles 2, 3, 4, 6, 10, 12, 23, 25 and 26 of the Covenant. The author discusses w i t h admirable lucidity the content and implications of many of these general comments, including the controversial second general comment on Article 6, which states inter alia that "the production, testing, possession, deployment and use of nuclear weapons should be prohibited and recognized as crimes against humanity" (p. 335). Pursuant to Article 41 of the Covenant, a State party may submit a communication to the Committee to the effect that another State party is not fulfilling its obligations under the Covenant. The Committee may receive and consider such communications only if submitted by a State party which has made a declaration recognizing in regard to itself the competence of the Committee. So far 31 States have made the declaration. Although this procedure came into effect in 1979, to date no inter-State complaint has been lodged, possibly owing to the general reluctance of governments to risk impairing their bilateral relations vis à vis other governments. The future of the Committee, however, is undoubtedly in its expanding quasi-judicial activities in connection w i t h the examination of individual complaints under the Optional Protocol. A t the time of writing this review, 468 cases have been registered concerning 36 States parties; 119 cases have been concluded by the adoption of "views" (final decisions on the merits), 124 have been declared inadmissible, 70 have been discontinued or withdrawn, 46 have been declared admissible and 109 are pending a decision on admissibility. The author's description of the functioning of the Optional Protocol procedure is thorough; he correctly points out that although examination of communications takes place in camera and the summary records remain confidential, final decisions on the merits and decisions

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declaring cases inadmissible are published both in the H R C ' s annual report to the General Assembly and in the running series "Selected Decisions", of which vols. 1 and 2 have already been issued (pp. 130-131). Although the Committee does not have independent fact-finding responsibilities and the procedure does not yet allow for oral hearings, such developments can be envisaged, w i t h the consent of States parties and assuming that the General Assembly provides adequate funding to undertake expanded mandates. The author correctly reminds us that Rule 94 (5) of the Rules of Procedure of the Committee on the Elimination of Racial Discrimination provides that " T h e Committee may invite the presence of the petitioner or his representative and the presence of representatives of the State party concerned in order to provide additional information or to answer questions on the merits of the communication" (p. 214, note 147). C E R D , however, has not yet made use of this possibility. As in other procedures of international investigation and settlement, the H R C ' s practice under the Optional Protocol (OP) can be divided into screening of complaints according to fixed admissibility criteria and examination of the merits. The author does a particularly good job in explaining such admissibility criteria as the requirement of exhaustion of domestic remedies (pp. 187-197). Being a dynamic body, the H R C has continued to establish new procedures in order to carry out its mandates in a more efficient and expeditious manner. I n this context the functions of the Special Rapporteur on New Communications and of the Special Rapporteur on the Follow-Up of Views deserve greater attention. The latter is of great importance, since it enables the Committee to monitor compliance w i t h its decisions. Admittedly, the H R C ' s "views" are not legally binding judgments, but States parties have largely respected the Committee's recommendations by changing legislation found to be incompatible w i t h the Covenant (e. g. Canada, Finland, Mauritius, the Netherlands), releasing detained persons (e. g. Ecuador, Madagascar, Uruguay) or paying compensation to victims (e. g. Finland, the Netherlands). Besides updating the book for a well deserved and welcome second edition, the author should correct certain flaws such as the incomplete or incorrect reference to Optional Protocol cases, both in the table or cases and throughout the book. Spanish or Latin American names are almost always wrongly cited, e. g. Antonio Drescher C aidas v. Uruguay should be cited Drescher v. Uruguay or Drescher C aidas v. Uruguay , and not C aidas v. Uruguay (Caldas is the family name of the victim's mother), Antonio Viana Acosta v. Uruguay should be cited as Viana v. Uruguay and not Acosta v. Uruguay , Ruhen Munoz Hermoza v. Peru should be cited Munoz v. Peru instead of Hermoza v. Peru , etc. Other cases are properly cited like Luciano Weinberger Weisz v. Uruguay , cited Weinberger v. Uruguay , and Irene Bleier Lewenhoff v. Uruguay , cited Bleier v. Lewenhoff (unfortunately misspelled Bleir). Some notes require revision, e. g. footnote 16 of chapter two, where he refers to an exChairman of the H R C as "formerly a journalist", without mentioning that he has been Professor of International Law since 1955 and former Minister of Foreign Affairs of his country. The author should also avoid reference to the U N Commission on Human Rights as " H u m a n Rights Commission", which lends to the frequent confusion of the two bodies by laymen. Reference to the travaux préparatoires of the Covenant would be welcome, for instance, in connection w i t h contested Committee decisions concerning the scope of articles 21 and 26. In this connection the reviewer notes that Marc Bossuyt's Guide to the Travaux Préparatoires of the International Covenant on Civil and Political Rights (1987) is

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included in the very useful 32-page bibliography, but that Bossuyt's contribution is not felt in the notes. Manfred Nowak' s superlative CCPR Kommentar is not mentioned in the bibliography, possibly because the English translation of the German original had not been published at the time of writing. The author may want to add a number of entries in the index, e. g. consensus, death row cases, dissenting (individual) opinions, expulsion of aliens, general comments, inter-State complaints, interim measures of protection, Special Rapporteurs, travaux préparatoires. A discussion of the Second Optional Protocol, which entered into force on 11 July 1991, would be useful. Alfred de Ζ ay as

Manfred Nowak / Dorothea S teurer / Hannes Tretter (Hrsg.): Fortschritt im Bewußtsein der Grund- und Menschenrechte / Progress in the Spirit of H u m a n Rights — Festschrift für Felix Ermacora, N . P. Engel Verlag, Kehl am Rhein / Strasbourg / Arlington 1988, 699 pp., D M 198,-. One of the great human rights authors and professors of public law is being honoured here on his 65th birthday, Felix Ermacora , member of the European Commission of Human Rights, member of the United Nations Human Rights Committee, head of the Austrian Delegation to the United Nations Commission on Human Rights and chairman thereof in 1974, participant in countless U N fact-finding missions, member of the ad hoc working group of experts on Southern Africa, member of the ad hoc working group to investigate Israeli practices in the occupied territories, member of the ad hoc working group on Chile, Special Rapporteur of the Commission on Human Rights to investigate human rights violations in Afghanistan, member of the Austrian Delegation to the U N General Assembly, Austrian Representative at the 1968 International Conference on Human Rights in Teheran, just to name a few of the many activities during his outstanding career. Among the human rights topics to which he has devoted attention three stand out: the right to self-determination, the protection of minorities and the prevention of discrimination. O f his manifold theoretical and practical works, mention should be made of his monographs " T h e Protection of Minorities in the work of the United Nations" (Recueil des Cours, 1983/IV,Vol. 182, The Hague 1984), Diskriminierungsschutz und Diskriminierungsverhot in der Arbeit der Vereinten Nationen (Vienna 1971), and of his many publications about the conflict of nationalities, the right of ethnic minorities, the right to selfdetermination of the Palestinian people, and Southern Tyrol. Such an eminent professor and international expert has many students, disciples and friends, and the editors of this Festschrift should be congratulated for bringing this Pleiad of 34 illustrious authors together. Indeed, there are many libri amicorum , but this one offers a particularly distinguished collection of articles. I t consists of five sections followed by a list of Ermacora' s publications, his biography and the biographies of the contributors. Part I is devoted to the work of the United Nations in the field of human rights. The Chapter by Kurt Herndl , former Director of the U N Centre for Human Rights, and member of the H u m a n Rights Committee since 1991, focusses on the development of U N fact-finding activities, especially through the appointment by the Commission on Human Rights and by the Sub-Commission on Prevention of Discrimination and Protection of

Book Reviews Minorities of special rapporteurs or special representatives to look at the situations in different countries, inter alia in El Salvador, Guatemala, Poland, Iran, and Afghanistan. Herndl shows the initial reluctance of some of those countries and the co-operation eventually extended to the rapporteurs. H e also describes the work of the "thematic rapporteurs", entrusted w i t h fact-finding into phenomena such as involuntary or enforced disappearances, summary or arbitrary executions, and torture. I n this connection he also draws attention to the U N Convention Against Torture, which, pursuant to Article 20, empowers the Committee Against Torture to act motu proprio as a fact-finding body. Bearing in mind that the most basic element in any fair procedure is the respect of the principle audiatur et altera pars, fact-finding organs must always seek the co-operation of the governments involved. The chapter by Bertrand Ramcharan focusses on the relations between the Commission and Sub-Commission on Human Rights. Since "the protection and promotion of human rights are the essential and ultimate raison d'etre of the United Nations" (p. 2), its organs must be given clear mandates and authority to make pronouncements on violations of human rights, and may address themselves to Governments on the basis of their terms of reference. The chapter by Professor Torkel Opsahl, former member of the European Commission of H u m a n Rights and of the U N H u m a n Rights Committee, addresses the central issue of equality in human rights law, w i t h particular reference to Article 26 of the International Covenant on Civil and Political Rights. Besides analysing the distinction in theory and in practice between formal equality, or justice in the sense of the correct and consistent application of the law, and material equality, or justice in the sense of equal distribution of rights and benefits, Opsahl contrasts Article 14 of the European Convention, which does not create a separate "right to equality" independent of the other rights and freedoms guaranteed in the Convention, against Article 26 of the Covenant, which, since the landmark decision in Zwaan-de Vries v. the Netherlands , has been interpreted as establishing an autonomous right to non-discrimination. The chapter by Professor Dieter Blumenwitz elucidates the right to freedom of opinion and information under Article 19 of the International Covenant on Civil and Political Rights, and traces its drafting history in the U N Commission on Human Rights and T h i r d Committee of the General Assembly, including the limitation clauses and its relation to Article 20, which prohibits war propaganda and advocacy of national, racial or religious hatred. Part I I deals w i t h the Council of Europe and H u m a n Rights. Professor Franz Matscher reflects on the procedures before the organs of the Strasbourg Convention, which are semijudicial (before the Commission), purely judicial (before the Court) and political (before the Committee of Ministers). Dr. Peter Leupr echt, Director for Human Rights at the Council of Europe, draws conclusions from the experience of the work of the Committee of Ministers not only under the European Convention on Human Rights but also under the European Social Charter. I n the interest of the effectiveness of international human rights protection, the rôle of political bodies should be reduced to the strict minimum. Professor Carl Aage Norgaard and the Secretary of the European Commission, Hans Christian Krüger, focus on interim measures intended to safeguard the position of the individual while proceedings are in progress and explain the practice of the Commission in applying Rule 36 of the rules of procedure. Professor Christian Tomuschat, member of the International Law Commission, analyzes Turkey's Declaration under Article 25 of the European Convention on H u m a n Rights, which is the Article recognizing the competence of the Commission to receive petitions from persons, non-governmental organizations or groups of persons claiming to

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be victims of a violation of Convention rights. Turkey's declaration was accompanied by a number of qualification clauses which constituted in many aspects a novelty in the practice under the European Convention, and which could not be measured against the yardstick of Article 19 of the Vienna Convention on the Law of Treaties. Yet, in spite of the inadmissibility of most of the qualification clauses, the Turkish declaration produces the juridical result desired. The chapter by Professor Frowein , member of the European Commission of H u m a n Rights, addresses the scope of judicial control under Article 6 (1) of the European Convention, observing that the clarification of European standards in the application of Article 6 to administrative matters is of crucial importance. Ms Sevine Ercmann compares the right t o counsel in the practice of the U.S. Supreme Court and the Human Rights Organs. Professor Ignaz Seidl-Hohenveldern focusses on the protection of property under the European Convention and under international law w i t h regard to the Strasbourg judgments in the cases of James and Lithgow , pointing out that whereas foreigners remain entitled to full, prompt and effective compensation the Court's case law w i t h respect to nationals admits less than full compensation. Professor Stefan Trechsel comments on Protocol 7 to the European Convention, which adds a number of substantive rights in the field of procedural guarantees, including ne bis in idem , applicable, however, only within one jurisdiction, thus still not preventing a person being tried and punished for the same facts in different States. Also under A r t . 14, paragraph 7, of the Covenant, the case law of the H R C does not recognize international ne bis in idems. Professor Theo Ohlinger s chapter on the European Social Charter reminds us of the unity of human rights, encompassing not only civil and political but also economic, social and cultural rights. The Social Charter, which had been conceived as a pendant to the European Convention, lacks the same effective implementation. A re-definition of the role of the supervisory organs and certain supplements to the supervision procedure is proposed. Part I I I is devoted to human rights in Austria, commencing w i t h the chapter by Professor Ludwig Adamovich, president of the Austrian Constitutional Court, on the effectiveness of fundamental rights, of which observance is guaranteed by the Constitutional Court and enhanced by the citizen's knowledge of his rights. Professor Edwin Loebenstein reflects on the fundamental right to legal protection, which depends on competent public organs for the administration of justice and on an orderly judicial procedure of enforcement. H e derives a general principle of legal protection from Article 13 of the European Convention and refers to the concept of the separation of powers, whereby it must be possible to invoke a guarantee of legal protection against the executive as well as the legislative power. Dr. Gerhard Stadler s chapter looks at economic rights such as freedom of trade, of service, of capital transactions, of settlement and the non-discrimination of citizens of different Member States of the European Communities, and indicates that the legislation of the Communities takes precedence over national law and that national courts at all instances are bound by the decisions of the European Court. Prof. Hans Klecatsky analyzes the right to Social Security in the Austrian "Reform of Fundamental Rights and Freedoms", to which Professor Ermacora has also contributed. Dr. Klaus Berchtold looks at the principle of equality before the law, which has been further developed in the case law of the Austrian Constitutional Court and which today is interpreted as being not only binding on the legislator but also prohibiting arbitrariness of individual administrative acts. Prof. BerndChristian Funk examines the broadcasting monopoly from the standpoint of the Austrian Constitution, w i t h reference to Parliament's exclusive regulatory power and A r t . 10 of the European Convention. Finally, Dr. Walter Berka looks at freedom of the arts in the light of several confiscations of films and literary publications by the Austrian judiciary, stressing

Book Reviews the legal presumption in favour of artistic freedom vis à vis limitations such as the protection of the right to privacy. Part I V comprises essays on specific human rights. Professor Otto Kimminich focusses on current discussions on reform of the right of asylum, and on the urgent need to speed up procedures; he indicates that international law does not guarantee a universal human right to asylum, which may be granted under the 1951 Refugee Convention or pursuant to the constitutions of sovereign States. Persons subjected to political persecution have a right to asylum in Germany, not by virtue of international law, but because it is provided for in Article 16, paragraph 2, of the German constitution. I n view of the tremendous increase in the number of asylum applicants and in the number of abuses, proposals have been made to amend or eliminate this provision, but Kimminich argues that such a change would not solve the problem. Professor Peter Kooijmans looks at ambiguities in refugee law, in particular the concept of the country of first asylum, which is not expressly mentioned in the 1951 Refugee Convention, but which has been recognized in practice; but since sovereign States apply refugee law in different ways, the phenomenon of "refugees in orbit" has emerged. In order to achieve a common European refugee policy, Kooijmans proposes that the European Court of Human Rights be entrusted, by special agreement, w i t h the task of giving preliminary rulings in the field of refugee law, thus giving national courts authoritative guidance. Professor Theodor Veiter surveys recent developments in the field of minority group rights in the Council of Europe, O E C D and U N E S C O , including the draft resolution relating to a European Charter for regional and minority languages prepared in 1987 by the Standing Conference of Local and Regional Authorities of Europe. H e recalls that the right of all peoples to self-determination has been binding ius cogens since the 1966 Covenants entered into force. Professor Gisbert Flanz turns his attention to legal and linguistic aspects of gender-based discrimination in spite of equal treatment laws, and explores possibilities to eliminate discrimination that is still deeply rooted in certain parts of the legal system. Judge Louis Edmond Pettiti of the European Court of Human Rights and former Bâtonnier of Paris reviews the case law of the European Commission and Court in matters of tapping of telephones and the breach of the right to privacy. Dr. Giselher Rüpke looks at equal treatment and the need of affirmative action, problems of de facto discrimination, and the need to ensure a minimum of social welfare as a matter of constitutional law. Professor Manfred Nowak , author of the brilliant Commentary on the International Covenant on Civil and Political Rights, delivers here a splendid essay on the implementation functions of the U N Committee Against Torture, established in 1987 under the Convention against Torture and other Cruel, Inhuman or Degrading Treatment or Punishment. H e reviews the organizational framework, procedures of State reporting, inquiry (including fact-finding), inter-State complaints, individual petitions, and warns that the effectiveness of the Committee will depend on the financial means the States parties are willing to make available to it. Dr. Hannes Tretter looks at international efforts in combatting slavery and slavery-like practices, including the exploitation of women and children, debt bondage, and the illicit traffic in migrant workers, the applicable conventions and the possibility of using the individual complaints procedures of the Human Rights Committee and European Commission of Human Rights. Professor Theo van Boven , former Director of the UN-Centre (then Division) of Human Rights, tells us where we are now in the human rights and development debate, stressing the interdependence of human rights, linking development to self-determination, ecology and disarmament.

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Part V begins w i t h Professor Vojin Dimitrijevic's essay on the interrelationship between peace and human rights. Dimitrijevic , a pillar of the U N H u m a n Rights Committee since 1983, does not like tautologies and finds that the 1984 Declaration on the Right of Peoples to Peace simply repeats the general prohibition of aggression and use of force. The right to negative peace or to absence of war does not justify creating another human right of the " t h i r d generation". To avoid confusion, he concludes that " i t is better to keep peace and human rights conceptually apart, and to like them, strive for them, secure them by all possible means without trying to amalgamate them in order to make them look stronger and more attractive" (p. 597). Prof. Albert Blaustein , who played an important rôle in the preparation of the new constitutions of Bangladesh, Liberia, Peru and Zimbabwe, draws from his experience in this rather brief essay, giving some tips, notably the importance of distinguishing between rights that can be enforceable by courts and principles that are not so enforceable. Professor Pernthaler links the theory of fundamental rights w i t h the general theory of the State, and submits, as Ermacora , that the constitutional State represents the main condition for the process of realization of human rights. Professor Joseph Cooray , former member of the U N H u m a n Rights Committee, comments on human rights protection in India and Sri Lanka, the constitutional framework and the function of national human rights commissions and ombudsmen. Professor Pietervan Dijk focusses on the domestic status of human rights treaties and the attitude of the judiciary in the Netherlands, indicating that, although the new 1983 Constitution contains its own human rights catalogue, invoking international treaty provisions before Dutch courts has become a normal thing to do for Dutch lawyers, and that it is not at all a source of irritation either to the court or to the public prosecutor, who now interpret and apply the European Convention as international law, taking into account the interpretations developed in international case law. If this review is long, it is because the excellent contributions well merit being read, discussed and quoted. The editors, the authors, and, of course, Felix Ermacora , deserve our thanks. Alfred de Ζ ay as

Rudolf Weiler: Internationale Ethik. Eine Einführung. Zweiter Band: Fragen der internationalen sittlichen Ordnung. Friede in Freiheit und Gerechtigkeit. Duncker & H u m b l o t , Berlin 1989, X + 244 S., D M 78,-. I m zweiten Band seiner Einführung in die internationale Ethik (zu Band 1 siehe Besprechung des Rezensenten in: G Y I L 32 (1989), S. 532-535) geht es dem Wiener Sozialethiker Rudolf Weiler darum, die im ersten Band „gewonnene sittliche Wertordnung im internationalen Leben anzuwenden" (S. IX). I n logischer Konsequenz des von Weiler vertretenen naturrechtlichen Ansatzes, nach dem „materiale Prinzipien" für verantwortliches internationales Handeln wissenschaftlicher Erkenntnis zugänglich sind, werden Einzelheiten der internationalen Friedens- und Wirtschaftsordnung unter dem Leitgedanken eines internationalen Gemeinwohls diskutiert. I n einem kurzen einführenden Kapitel widmet sich der Verf. dem Pluralismus und der Integration der internationalen Gesellschaft (S. 1-34). Er geht aus von einem „globalen Integrationsprozeß" (S. 3 ff.) und befaßt sich im einzelnen m i t der „Werteeinheit Europas" und der Integration der Kulturen. I m zweiten Kapitel, dem ausführlichsten Teil des Buches (S.35-135), werden Fragen der Friedensethik behandelt. Weiler bestimmt die Ausgangslage

Book Reviews dahingehend, daß wir uns heute in einem Transitorium befänden, „wo der Friede möglich erscheint und ebenso nötig ist und der Krieg seine theoretische Möglichkeit zwar verloren hat, dennoch praktisch jederzeit noch mangels ausreichender Friedenstheorien und -Strategien passieren kann" (S. 36). Grundsätzlich wird ein absoluter Pazifismus ebenso abgelehnt wie eine — und dies ist im Blick auf die Tradition der naturrechtlichen Sozialethik durchaus beachtlich — Abkehr von der Lehre vom gerechten Krieg gefordert und vollzogen wird. Ansatz der Friedensethik ist die Friedensförderung; insoweit wird ausführlich auf Abrüstung und Friedenspolitik bis hin zu sicherheitspolitischen Konzepten und Militärstrategien eingegangen. A m Ende dieses Kapitels wird die internationale Friedensordnung ethisch als eine Rechtsordnung konzipiert. Es gehe darum, „ t r o t z der Tatsache des rechtsphilosophischen Pluralismus in den Weltkulturen zu einer gemeinsamen Rechtskultur im Dienste des Völkerfriedens zu kommen" (S. 133). I m dritten Kapitel, das der internationalen Wirtschaftsordnung gewidmet ist, soll eine „Analyse des Standes der sozialen Kooperation in den internationalen Wirtschaftsbeziehungen angestellt werden" (S. 137). Nach einem Uberblick über die Situation der Weltwirtschaft und Organisation des Welthandels postuliert der Verf.: „eine sozial gerechte internationale Wirtschaftsordnung . . . muß Kriterien entwickeln, die den Menschen und nicht funktionale Mechanismen in die M i t t e der internationalen Sozialwirtschaft stellen". Insofern sei die heute vorherrschende a-ethische Betrachtung der Wirtschaft zu überschreiten (S. 151). Besondere Aufmerksamkeit wird der Entwicklungspolitik gewidmet; die einschlägige Tätigkeit internationaler Organisationen und die Forderung der Entwicklungsländer nach einer „Neuen Weltwirtschaftsordnung" werden ausführlich gewürdigt. Gefordert wird eine „integrale Entwicklungspolitik", d. h. „eine sozial geordnete Weltwirtschaftspolitik, ergänzt durch solidarische Entwicklungshilfe" (S. 177). Konkrete Lösungen zu Einzelfragen der internationalen Politik werden — wenn auch gelegentliche Formulierungen (etwa S. 188) diese Erwartung beim Leser wecken — von den sehr gedankenreichen Überlegungen nur selten angeboten. W o h l aber findet der Leser zahlreiche und sehr nachdrückliche Anregungen, Gebote der nationalen Sicherheit und des nationalen Interesses, der ökonomischen Rationalität und Effizienz mit den Forderungen in Einklang zu bringen, welche die Würde des Menschen, der Friede und die Gerechtigkeit in der Welt stellen. Hervorzuheben ist die durchgehende Intention des Verf., den Menschen — und zwar den ganzen Menschen und alle Menschen in gleicher Weise — ins Zentrum der Überlegungen zu stellen. Leider ist die Darstellung oft nicht leicht verständlich, gelegentlich auch leerformelhaft (vgl. S. 112 zur Friedenspolitik). Einige Ungenauigkeiten tauchen bei der Darstellung der U N und ihrer Organe auf (etwa S. 110 f., 114,125). Sehr informativ hingegen sind die Darstellungen über die Rolle des H l . Stuhls in der internationalen Politik (S. 128 ff. und verstreut in den Anmerkungen). Kritisch anzumerken ist die dem naturrechtlichen Ansatz des Verf. immanente mangelnde Unterscheidung zwischen Recht und Ethik, die — etwa bei der Behandlung des „Rechts auf Frieden" — dem völkerrechtlich orientierten Leser eine an sich wünschenswerte Auseinandersetzung mit den vorgetragenen Überlegungen sicher nicht erleichtert. Klaus Dicke

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Kay Hailbronner: Ausländerrecht — Ein Handbuch. 2., völlig neubearbeitete und erweiterte Auflage, C.F. Müller, Heidelberg 1989, 1197S., DM248,—. Jochen A. Frowein / Torsten Stein (Hrsg.): Die Rechtsstellung von Ausländern nach staatlichem Recht und Völkerrecht — The Legal Position of Aliens in National and International Law — Le regime juridique des étrangers en droit national et international, 2 Bde., Springer Verlag, Berlin / Heidelberg / New York / London / Paris / Tokyo 1987 ( = Bd. 94/1 und 2 der Beiträge zum ausländischen öffentlichen Recht und Völkerrecht), 2135 S., D M 4 8 0 , — . I t is no fortuitous coincidence that two major works on the law of aliens were published in the Federal Republic of Germany in the late 1980's: The one (The Handbook on the Law of Aliens by Hailbronner) a comprehensive, in depth analysis of the constitutional and statutory law of aliens and of the vast jurisprudence of the courts in the Federal Republic of Germany, the other a voluminous two volume symposium on the law of aliens of all in all 31 countries from all major regions of the world, including comparative analyses of the findings of the national laws treated, on the law of aliens as developed and influenced by the International Labor Organization ( I L O ) , the Council of Europe contributions to the law of aliens, and on law related to the status of EC-Member States citizens in EC countries. These books once again are manifesting the growing importance and international awareness of this body of law. Increasing international mobility (not only within closely integrated regions) and, sadly enough, continued mass migrations of refugees from countries which are either the battlefield of never ending civil strife or incapable of providing adequate living conditions for their populations, confront the international community of States as well as a growing number of individual States w i t h the manifold problems implicit in the continued presence of large groups of aliens on their territory. One of these countries is the Federal Republic of Germany where the law of aliens, therefore, is of utmost actuality. 1. Hailbronner s Handbuch is the enlarged and thoroughly revised second edition of the successful earlier publication w i t h the same title. The book serves a dual purpose. I t is aimed on the one hand at a scholarly audience in that it discusses all of the major doctrinal problems beleaguering the law of aliens almost universally, but the Federal Republic of Germany, in particular, because of its constitutionally guaranteed right to asylum for everybody (i. e. persons of whatever nationality or stateless persons). O n the other hand, it is of highly practical value for the administrator, the legal practitioner and the judges; particularly those who are sitting on the administrative courts which for years now have been carrying a major burden in interpreting the great number of relevant statutes, international agreements and primary and, more importantly, secondary EC law on this subject. The commentary/treatise-type book is divided into seven major sections. The book starts out in section (A) w i t h an overview of the legal sources of the law of aliens in national, international and European Community law and a definition of the notion of the alien. Section (B) is devoted t o the law of sojourn of the alien (entry and residence), followed by section (C) dealing w i t h the ending of residence in the foreign country (expulsion, deportation (Abschiebung) and extradition). In an age of increasing mobility of people, particularly of those who pursue their professional life abroad, section (D) is of special interest. I t analyzes the legal realm applying to aliens with respect to their professional and social security status as well as their rights to access to schools and professional training. Since the mobility of people is especially intensive within the European Community and

Book Reviews between community members and associated States, EC law has an increasing impact on the national, in this case the German law of aliens. Hailbronner devotes a full section (E) to this subject. This is then followed by a thorough analysis of the special legal regime applying to asylum seekers and those persons entitled to asylum Section (F). This part is divided up along the same line of subheadings as is the book as a whole (foundations, notions, entry and residence, social and economic rights of the persons who have been accorded asylum). Since granting or denying asylum is a highly controversial issue, legal remedies and protection by the courts is of particular importance. A special subsection is therefore devoted to this area. The last section (G) deals w i t h the law of naturalization of aliens. The great advantage of Hailbronner as the author of this elaborate work is that he can approach the complex field which the law of alien represents, from the point of international, EC law and national constitutional as well as administrative law as he is well-versed in each of these branches of the law. Throughout the book the growing importance of the body of international human rights law is introduced into the treatment of the various aspects of the national law of aliens which hitherto have been considered to be the exclusive domain of national legislation. Hailbronner also proves to be very sensitive to the socio-political underpinnings of the law of aliens and he is keenly aware of the dangers of an interpretation of international and national law in a way that might be carried away by highly respectable humanitarian motives, but thereby could get far out of step w i t h the existing (often regrettably tradition-oriented) legal and political approaches by governments and thus would prove ineffective. But such interpretations might also become critically at variance w i t h the attitudes of the citizenry of the country — a factor to be considered seriously in the development of the law of aliens. This careful approach comes to light particularly clearly in those sections of the book where Hailbronner deals w i t h such controversial issues as the scope of the constitutional right of asylum (Art. 16 I I 2 Basic Law) and the delimitation of this right vis-à-vis the States' right to exclusion, expulsion or extradition of aliens. In view of the mass entrance of asylum seekers who are (for very good reason) fleeing their home countries but hardly meet the criterion of the traditional notion of a "political refugee" seeking "political asylum", which underlies Article 16 I I 2 Basic Law, various suggestions have been made to limit the scope of the right to asylum or at least to reduce the number of legal remedies available to rejected asylum seekers under existing law. Hailbronner s conclusion that only some constitutional amendment could ultimately help resolve these problems in legal terms is probably a realistic one. But the other conclusion seems to be inevitable as well, i. e. that such a constitutional amendment may not be feasible politically and that the human tragedy underlying the legal problem would not be solved by such a step either. Thus the importance of the respective passages lies primarily in the fact that it makes available to the user a clear, in depth and sensitive analysis of the existing law and jurisprudence of the courts and thereby enables the user to deal w i t h the day-to-day cases not only in a legally proper way but also in full awareness of the shortcomings — from a humanitarian perspective — of the many decisions to be taken. A helpful listing of the relevant legal sources of the German law of aliens (including state ordinances and administrative guidelines) as well as a comprehensive listing of the decisions of the Federal Constitutional Court (.Bundesverfassungsgericht ), the Federal Administrative Court (Bundesverwaltungsgericht) and the State Administrative Courts of Appeals (Oberverwaltungsgerichte) as well as a listing of some of the relevant multi- and bilateral treaties conclude the work. If it would not be so well established within the community of administrators, lawyers and courts already the author of this review could not but highly

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recommend the book to everyone concerned. Even if one may not agree w i t h Hailbronner on every detail or w i t h every one of his value judgments, the work is indispensable in dealing w i t h the law of aliens and it is to be hoped that another updated edition will follow in due time. 2. From a different angle, one could conceive of the two volume symposium on the legal status of aliens in national and international law again as serving a double purpose. Primarily it is a "gold mine" of scholarly researched information on the national law of aliens of the countries treated. But the vast material covered can also be of great assistance to legislators, administrators and courts since it could help to understand differences in the national laws of aliens more clearly and support an administration of the national law responsive to the needs and problems of the aliens concerned. The actual symposium held in Heidelberg at the Max-Planck-Institute of Foreign Public and International Law on September 11-13, 1985, was based on a carefully prepared questionnaire which is also reproduced in volume 1 of the publication. The national reporters — highly reputed scholars from West and East European, N o r t h American, Latin American, and African countries, as well as from Australia — have to be commended for their strict adherence to the questionnaire thus enabling the reader to have easy access to the comparable legal treatment of specific issues in the national law of aliens. I t would be unfair to single out any one reporter for specific comments as the quality of the national reports is very high through out the book. In the present context of this review it may be permissible though to mention that the report on the law of aliens in the Federal Republic of Germany was prepared by Hailbronner which provides another example of his vast expertise in the field. The major issues raised by the questionnaire prepared by the staff of the Max-Planck Institute were the following: Factual and Legal Basis for the Treatment of Aliens Including the Concept of "Aliens" (A); Entry and Residence (B); Termination of Permission to Stay and of Residence (C); Residence Status (D); the Law of Asylum (E). I t thereby follows basically the same order as the handbook by Hailbronner. Recurring subsections under the main headings were questions of the impact of family and marriage (subsections Β I V , C I V , Ε I V ) indicating the major importance of human rights aspects in the modern law of aliens. This is also true w i t h regard to the problem of participation by aliens in the political, economic, social and cultural life of the host country (subsections D I I , V) which figures prominently in the national reports as well as in the international reports on the contributions of the Council of Europe, the EC, and I L O to the development of the law of aliens. These international reports are also based on the questionnaire. This makes for a very transparent presentation of the legal regimes for aliens on the national, regional and international level and allows for a clear perception of the various interactions between the laws of the different levels and the development and the application in individual cases arising in the daily practice of the national authorities concerned. This transparency of the enormous amount of information gathered is widely enhanced by the six comparative analyses of the different national, regional and international legal regulations including short summaries of the discussions held at the 1985 symposium (pp. 1953-2066), excellently prepared by members of the scientific staff of the Max-Planck Institute. These reports again address most of the main issues of the questionnaire (Entry and Residence, Termination of Permission and Residence, the Legal Position of the Spouse and Family Members, Participation in Economic Life, Political Rights and Other Aspects of Resident Status, Asylum and Refugee Status). Frowein , the senior editor of the two volumes has undertaken the formidable task of presenting a summary review of the total

Book Reviews findings of the symposium (pp. 2069 et seq.). H e rightly emphasizes the importance of the different socio-political bases and perceptions of the States of different regions and backgrounds. One such main difference is between immigration countries like, for instance, the United States, Canada, and Australia and non-immigrant countries. Another major difference is that members of the European Community have created the status of EC citizens, "thereby guaranteeing freedom to choose the center of professional activities and residence in another E C country" (p. 2069). A third interesting finding is that a comparison of the numbers of aliens living in the various countries shows that "the law of aliens is of much greater practical importance in countries w i t h a free constitutional system and a marked economy" than in countries w i t h a socialist social and legal order (ibid.). A n d finally, the fact that States tend to have rather divergent views w i t h regard to the "control" over their citizens and, therefore, are confronted w i t h quite different problems in the treatment of aliens. Some States traditionally have a rather tight requirement for registration of citizens in general which makes it rather difficult for aliens to enter and stay in such a country illegally while others — lacking such system — have to cope intensively w i t h the problem of illegal immigrants. Frowein s overall evaluation of the findings that, some basic differences and differences in the details of the national laws of aliens notwithstanding, this body of law has gained increasing importance universally, is doubtlessly true and amply borne out by the material presented. A n analytical index makes the material easily accessible from a technical point of view. The national reports are written in either German, English, or French and supplemented with a bibliography — another helpful device for a fruitful use of the volumes. The Max-Planck-Institute, the editors, the national reporters, and the staff of the Institute are to be highly commended and congratulated for this formidable achievement. Only one who him or herself has been charged w i t h the task of editing such vast material — and publishing in a relatively short time after the actual symposium — has a full grasp of the amount of co-ordination and editorial work which has to go into such an undertaking. I t is to be hoped that this work, despite its inevitably high price, finds the widest possible distribution throughout the world. Jost Delbrück

Rainer Hofmann-. Die Ausreisefreiheit nach Völkerrecht und staatlichem Recht. Springer Verlag, Berlin / Heidelberg / New York 1988, 337 S. Die Heidelberger Dissertation widmet sich einem politisch besonders brisanten Thema, das — wie die Entwicklung des letzten Jahres gezeigt hat — nicht zuletzt die radikalen Veränderungen in Staaten des früheren Ostblocks beeinflußt hat. Das Ziel der Untersuchung ist die Frage, ob und inwieweit die Ausreisefreiheit völkerrechtlich und im innerstaatlichen Recht geschützt ist. Diese Fragestellung wird zunächst anhand der menschenrechtlichen Instrumente im universalen und regionalen Völkerrecht umfassend geprüft. Zwischenergebnis ist, daß die Ausreisefreiheit nach heutigem Völkerrecht im Grundsatz garantiert ist. Damit stellt sich zwangsläufig die für den Umfang der Ausreisefreiheit entscheidende Frage nach den Einschränkungen. Sie wird in Teil 2 umfassend und sorgfältig abgehandelt. Der A u t o r hat dabei alles zusammengetragen und fruchtbar gemacht, was in Wissenschaft und Praxis zur Problematik der Beschränkung von Menschenrechten gesagt und entschie-

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den worden ist. Die Praxis der Straßburger Organe wird ebenso herangezogen wie die Entscheidungen des UN-Menschenrechtsausschusses und der Interamerikanischen Menschenrechtskommission. Danach kristallisieren sich eine Reihe formeller und materieller Einschränkungsmöglichkeiten heraus, die allesamt durch Verweise auf die völkerrechtliche Praxis gut fundiert erscheinen. Was der A u t o r als Fazit seiner Recherchen festhält, kann daher durchweg als Leitlinie für die völkerrechtliche Reichweite der Ausreisefreiheit herangezogen werden. Der zweite Teil der Arbeit ist der rechtsvergleichenden Untersuchung der Ausreisefreiheit in zahlreichen Ländern gewidmet, wobei der A u t o r eine A r t Universalität anstrebt, gleichzeitig aber auf die Schwierigkeiten eines so weit gezogenen Rechtsvergleichs hinweist. Es erstaunt denn auch nicht, daß insoweit vor allem in Hinblick auf die Einschränkungen der Ausreisefreiheit erhebliche Unterschiede festgestellt werden müssen. Darin liegt vielleicht eine gewisse Schwäche des rechtsvergleichenden Teils, daß bei einer Einbeziehung aller Regionen der Welt das menschenrechtliche M i n i m u m nicht selten enttäuschend niedrig ausfallen wird. U m so wichtiger ist es, sich der Unterschiede in regionalen Völkerrechtskreisen bewußt zu sein. Immerhin sind auch im weltweiten Rahmen eine Reihe von Prinzipien über zulässige Einschränkungen der Ausreisefreiheit zu konstatieren, wenngleich, nicht zuletzt aufgrund der Generalklausel der „staatlichen Belange", erhebliche Unterschiede bestehen bleiben. Der A u t o r folgert aus der rechtsvergleichenden Untersuchung, daß einer Mehrheit völkerrechtskonform handelnder Staaten eine Minderheit von Staaten gegenübersteht, in denen die Ausreise völkerrechtswidrig beschränkt wird. Die Feststellung eines auf der Rechtsvergleichung beruhenden internationalen Standards, der als Grundlage für eine gewohnheitsrechtliche Bestimmung des Inhalts eines Menschenrechts auf freie Ausreise dienen könnte, sei nur „ m i t erheblicher Zurückhaltung" möglich. Man könnte bei diesem Fazit einhaken und fragen, inwieweit die im ersten Teil getroffenen völkerrechtlichen Feststellungen über die Gewährleistung der Ausreisefreiheit in den völkerrechtlichen Menschenrechtsinstrumenten nicht von der unterschiedlichen nationalen Praxis der Gewährleistung der Ausreisefreiheit beeinflußt werden. Eine strikte Trennung zwischen Gewohnheitsrecht und Vertragsrecht erscheint insofern nicht angebracht, als auch nach Vertragsrecht der Praxis der Gewährleistung der Ausreisefreiheit maßgebliche Bedeutung für die Vertragsauslegung zukommt. Insgesamt stellt die Arbeit eine originelle und umfassende rechtsvergleichende und völkerrechtliche Analyse des Rechts auf Ausreisefreiheit dar. Sie bietet jedem, der sich mit der Ausreisefreiheit wissenschaftlich befaßt, eine Fülle von Anregungen und weiterführenden Hinweisen. Die Arbeit kann daher für nationale und internationale Gremien, die sich mit Fragen der Beschränkung der Ausreisefreiheit befassen, als unentbehrliches Handbuch angesehen werden. Kay Hailbronner

E. Lauterpacht / C.J. Greenwood / M. Weller / D. Bethlehem (eds.): The Kuwait Crisis: Basic Documents. (Cambridge International Documents Series, Vol. I). Grotius Publications Limited, Cambridge 1991, 330 pp., £35,00. Dieser Band enthält alle wesentlichen Dokumente zur Vorgeschichte der Auseinandersetzung zwischen Kuwait und Irak und zur Reaktion der Vereinten Nationen. Da die

Book Reviews Kollektion mit dem 10. Dezember 1990 endet, fehlen naturgemäß die Resolutionen des Sicherheitsrates 687, 688 und 690. Sie finden sich in dem zweiten Band, der im übrigen die nationalen Maßnahmen sowie Unterlagen über Anwendung von A r t . 50 UN-Charta zusammenfaßt. Band I gliedert sich in acht Kapitel unterschiedlicher Länge. Kapitel 1 enthält Dokumente zum historischen Hintergrund des Konflikts, es beginnt m i t einer kurzen Beschreibung der Geschichte Kuwaits im 18. und beginnenden 19. Jahrhundert aus Lirimer's Gazetter. Dem folgen beispielsweise das britisch-kuwaitische Abkommen von 1899 sowie das Abkommen zwischen dem Vereinigten Königreich und der Hohen Pforte von 1901 sowie der Vertragsentwurf von 1913. Aufgenommen sind auch die relevanten Dokumente über die Entstehung des Staates Irak nach Beendigung des zweiten Weltkrieges. Jedoch nicht allein diese Verträge machen dieses historische Kapitel so wertvoll, sondern die Vielzahl von zwischen den beteiligten Regierungen ausgetauschten Memoranden sowie interne Berichte über diplomatische Verhandlungen. Dokumentiert wird schließlich in dem ersten Kapitel auch die Aufnahme Kuwaits in die Vereinten Nationen, die Kuwait-Krise von 1961 sowie die Beendigung des Krieges zwischen Iran und Irak. Kapitel 2 enthält lediglich zwei Dokumente, die Aufschluß über die Rechtsstandpunkte von Irak und Kuwait über die Hintergründe des 2. Golfkrieges geben. Kapitel 3 dokumentiert die Aktionen des Sicherheitsrates — Resolutionen 660-678 —, die entsprechenden Debatten im Sicherheitsrat sowie den Schriftverkehr zwischen den beteiligten Staaten und den Vereinten Nationen. Kapitel 4 und 5 informieren über die Maßnahmen, die die Vereinten Nationen, das Vereinigte Königreich und die USA zur Durchsetzung der wirtschaftlichen Sanktionen ergriffen haben. Dieser Teil wird durch den Folgeband ergänzt werden. Die Dokumente über die vergeblichen Versuche, den Schutz von Einzelpersonen zu gewährleisten, enthält Kapitel 6. Auch insoweit wird erst Band I I ein vollständiges Bild liefern. Kapitel 7 und 8 dokumentieren die vergeblichen Versuche, eine friedliche Lösung des Konflikts bzw. eine Lösung im Rahmen regionaler Abkommen herbeizuführen. Der Dokumentenband ist vorzüglich recherchiert; die Auswahl der Dokumente informativ und vor allem objektiv. Für eine Beschäftigung mit dem Verhältnis zwischen Kuwait und Irak ist die Dokumentensammlung völlig unverzichtbar. Rüdiger Wolfrum

Rahmatullah Khan: T h e I r a n - U n i t e d States Claims T r i b u n a l : Controversies, Cases, and C o n t r i b u t i o n . Martinus Nijhoff Publishers, Dordrecht / Boston / London 1990, pp.343, Dfl. 185,—. The author, an Indian professor, worked for one year at the Iranian Bureau of Legal Services in The Hague. His inside presentation of the Iranian point of view of the task before the Iran-US Claims Tribunal merits attention as an effort to counterbalance the numerous articles and statements by US lawyers, having represented US parties before that Tribunal. The author belongs to a school of thinking which defends solutions favorable to the T h i r d World, without regard for logical coherence. H e castigates the Tribunal for not

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having had enough courage to stick by some early pragmatic decisions. From a pragmatic point of view, he is certainly right to consider the US-Iranian Treaty of A m i t y to be no longer valid, in spite of the fact that Iran itself relied on this Treaty in 1980 and never formally denounced it. However, why then object to awards by the Chairman and the US judge rendered in the absence of the Iranian judge? As the author appears to suspect all nonIranian members of the Tribunal of at least some bias against Iran, what difference could the presence of the Iranian judge have made on the content of the award? Yet, from the formal point of view the presence of the Iranian judge was certainly required. The author's explanation of the absence of the Iranian judge temporarily blocking the work of one of the chambers sounds too candid, in view of the obvious interest of the US to have as many cases as possible decided before Judge Beliefs resignation became effective. From a formalistic point of view, the only way out of the Mangard affair, likened to a Greek tragedy by the author, would have been a formal challenge. I agree w i t h the author that the Algiers Accords are valid. The duress exercised by Iran was counterbalanced by the US freeze of Iranian assets. The author suggests that rules unfavorable to the Iranian side were accepted none the less by Iran, on account of the freeze and due to an exaggerated fear of US court decisions prior to the Accords. Most Iranian State assets in the US would not have enjoyed immunity, as the author believes they did. Whether damage claims could have been brought against the assets on account of Iranian Acts of State depends on the admittedly controversial theory that a State having come to the forum as trader can no longer "count on i t " that acts done subsequently will be respected as acts of State in spite of their iure imperii nature. The author thus believes that Iran struck a bad bargain. However, a final breakdown of the negotiations to freé the hostages would have transformed the freeze into an outright confiscation of all these assets. The investor States opted for lump sum agreements as, otherwise, the nationalizing State would have compensated only firms whose co-operation remained vital for the existence of the nationalized plant and no others. Distribution of the lump sum involves litigation as the administrator of the lump sum will challenge the individual claims in order to defend the jackpot. In Austria at least there lies an appeal against such claims decisions to the Constitutional Court — and, in Czechoslovak cases, also to the Administrative Court. I agree w i t h the author that lump sum settlements do not grant full compensation and that they may be concluded without the consent of the owners. Khan, as do I, appears to lean towards the view that the home State of the investor should make up the difference, but no State has done so. Article I V para. 3 of the Claims Settlement Declaration finds a parallel in Article 54 of the I C S I D Convention. Tribunals established under that Convention are held to be just as international as the Iran-US Claims Tribunal. The Algiers Declaration, unlike Article 55 of the I C S I D Convention, does not contain a reservation concerning immunity. I t is, therefore at least arguable that the reference to enforcement of the awards " i n the courts of any nation in accordance w i t h its laws"» does not refer to the forum's rules on State immunity. The proposed Netherlands legislation criticized by the author restricts the right of the Netherlands courts to review the awards to reasons of annulment similar to those figuring in Article 52 of I C S I D Convention. The criticism of the author boils down to the reproach that the Netherlands thereby wanted to deprive Iran of the alleged right of every State to flout any award rendered against it. I n view of the Algiers Declaration the author's view could be sustained only if this alleged right would be ius cogens. The author is on safer ground when he criticizes some of the forum selection cases.

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The motive for accepting claims by dual nationals is not the promotion of foreign investments. The conflict resides in the notion of the individual as subject of international law, on the one hand, and State sovereignty on the other. Fairness, too, would demand admission of a person having suffered damage because he was — also — a US citizen. Yet, the lex lata excludes such claims as shown by 1967 and 1971 decisions of the Austrian Constitutional Court in distribution of lump sum cases. The author regrets the cultural rift between the Iranian and the other judges. Yet, for decisions concerning the responsibility of Iran for revolutionary acts, history offers many non-Iranian precedents. There are ways and means to steer mob violence, plant occupations, strikes, etc. There are the unscrupulous persons eager to take the place of their ousted superiors. Except for the acts of the Revolutionary Guards, the author rejects all government responsibility for such acts. O f course, it is in their very nature that proof of government instigation and corrupt collusion will be difficult to produce. But could the author not conceive that subjectively the US judges perhaps subconsciously considered all these facts to be part of a vast conspiracy? Just as subjectively that view may explain some of the awards found astonishing not only by the author. Moreover, we must not forget the antiUS bias pervading all public life in Iran during and after the revolution. This was not a case for foreigners getting involved by accident in a revolution as did. D u t c h merchants in the uprising of the false Demetrios against Boris Godunov. International law may not offer much help to foreigners in such cases. However, here, the revolution was directed as much against US influence as against the Shah. Thus, the appointment of Iranian managers for driven-out US ones was tainted as government interference. That assets thus administered would be returned to their owners appears as unlikely as in the case of Nazi Verwalter or Cuban intervenors. The author objects to the notion of creeping expropriation as "ill-defined", but that is the very essence of this notion generally accepted in international law. The author echoes Iranian criticism of the Tribunal's reliance on experts. The ICJ, too, uses experts. In the article, L'évaluation des dommages dans les arbitrages transnationaux, dans: Annuaire Français de D r o i t International 33 (1987), 7-31, it is stressed that the ultimate responsibility for an award lies w i t h those who render it. Moreover the factors used by experts for evaluations according to the discount cash flow method are sometimes so mysterious and inexplicable to the profane that, in practice, arbitrators and the parties might fare just as well by leaving such evaluation to the equitable judgment and common sense of the arbitrators. The author appears amazed that the Tribunal did not accept CERDS as a yardstick of the law on compensation for nationalization. H o w could it do so, in view of Western objection thereto? I do not presume to be able to indicate a way out of that quandary, applicable to all the cases before the Tribunal. The author's views are useful in the dialectic process as, hitherto, the Iranian point of view has not been given all the attention in English language publications to which this view, too, appears entitled. Ignaz Seidl-Hohenveldern

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George Ginsburgs / V N. Kudriavtsev (eds.): The Nuremberg Trial and International Law (Law in Eastern Europe, N o . 42). Martinus Nijhoff Publishers, Dordrecht / Boston / London 1990, 304 pp., Dfl. 199,-. I m Frühjahr 1985 — also kurz vor der großen Wende in den sowjetisch-amerikanischen Beziehungen — wurde der Plan gefaßt, zur 40-Jahr-Feier des Urteils des Internationalen Militär-Gerichts ( I M T ) von 1946 ein gemeinsames amerikanisch-sowjetisches Werk über dessen Wirken und das Völkerrecht vorzubereiten. Jeder Problemkreis sollte von je einem amerikanischen und sowjetischen Gelehrten behandelt werden. Auf sowjetischer Seite wurden die Bearbeiter von dem Institut für Staat und Recht der Akademie der Wissenschaften gestellt, von amerikanischer Seite trat die Rechtsfakultät der Rutgers Universität in Camden / New Jersey als Partner auf. N u n liegt — etwas verspätet — das Ergebnis dieser gemeinsamen Arbeit vor. V o n den Herausgebern wird angekündigt, die starke Ubereinstimmung zwischen allen Beteiligten habe sie selbst überrascht. Das kann der Leser allenfalls für die Ergebnisse bestätigen. Bei Methode und Arbeitsweise bestehen erhebliche Unterschiede. Vorbehaltlose Verteidiger der Nürnberger Praxis stehen eher kritisch eingestellten Autoren gegenüber, die sich auch nicht scheuen, das erkennen zu lassen. Der T i t e l verspricht, das Thema solle in zwei Richtungen untersucht werden. Einerseits seien die völkerrechtlichen Grundlagen für diese vorbildlose Gerichtsbarkeit zu untersuchen und auch die Elemente darzutun, die beigefügt wurden, um ein politisches Ziel zu erreichen. Andererseits aber — so versteht jedenfalls der Rezensent das Thema — sei auch die Ausstrahlung der Nürnberger Praxis auf die Entwicklung des Völkerrechts zu würdigen. Die Verfasser haben sich vorwiegend dem ersten Fragenkreis zugewandt. I m wesentlichen sind ihm die ersten acht Kapitel gewidmet (S. 9-249), während die Ausführungen zur Ausstrahlung teils über die ersten Kapitel verstreut, teils im Schlußkapitel I X zu finden sind. Insgesamt sind von sowjetischer Seite beteiligt: N. F. Christiakov , V N. Kudriavtsev, A. M. Larin,A. Lediakh , 1.1. Lukashuk und Iu. A. Rechetov; von amerikanischer Seite: R. S. Clark, G. Ginsburgs, J. F. Murphy, S. Pomorski und W. B. Simons, zu denen noch E. Zoller / Straßburg t r i t t . Eine eingehende Auseinandersetzung mit den Grundfragen, die in den Kapiteln I / I I (Gerichtsbarkeit), I I I (Verfahren) und I V (Verantwortlichkeit von Individuen) behandelt sind, erscheint zwar lohnend, würde aber breiten Raum beanspruchen. Methode und Arbeitsweise der Autoren lassen sich aber auch an ihren Ausführungen zu den einzelnen Straftaten (V: Verbrechen gegen den Frieden; V I : Kriegsverbrechen; V I I : Verbrechen gegen die Menschlichkeit und V I I I : Verschwörung und Organisationsverbrechen) zeigen. A n der Spitze der Straftaten, über die der Nürnberger Gerichtshof zu entscheiden hatte, steht das Verbrechen gegen den Frieden, insbesondere durch Entfesselung eines Angriffskrieges. O b Bemühungen um die Erhaltung des Friedens wie der Briand-Kellog-Pakt die Grundlage für eine Bestrafung des Angreifers abgeben, war zunächst auch unter den Vier Mächten umstritten. R. Jackson bezeichnete eine Bestrafung als „imperative development of international law that meet the demands of a changing world". Eine kühne Konstruktion versucht, den Einwand auszuräumen, eine Einführung und Anwendung dieser neuen Strafnorm stoße sich am Verbot rückwirkender Strafgesetze: Das Völkerrecht sei im allgemeinen darauf beschränkt, die Strafwürdigkeit einer Handlung festzustellen, während die Sanktion dann vom nationalen Gesetzgeber nachgeholt werde. Beide Maßnahmen seien jedoch äquivalent und daher komme kein Verstoß gegen das Verbot rückwirkender

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Strafgesetze in Betracht {lu. R. Rechetov, S. 113 unter Berufung auf die I L C ) . Weniger subtil wurde vom Gericht erklärt, die Vier Mächte hätten kraft ihrer Gesetzgebungshoheit dieses Verbot aufgehoben, was Murphy kritisch erwähnt (S. 148). Uberhaupt hat sich Murphy mit den Einwänden gegen diese Strafnorm redlich auseinandergesetzt (S. 141-153). Er räumt zwar ein, ihre Aufnahme in die Charta verstoße wohl nicht gegen das genannte Verbot, doch hält er die neue Strafnorm nach den Erfahrungen in Nürnberg nicht für notwendig, um die Schuldigen an dem Weltbrand zur Verantwortung zu ziehen, da sie fast durchweg auch Kriegsverbrechen begangen hätten. Es sei auch vorauszusehen gewesen, daß diese Strafnorm in Zukunft kaum angewandt würde (S. 125). Eine Bestrafung von Kriegsverbrechen im engeren Sinne durch das I M T hat insoweit eine solidere Grundlage im damals bestehenden Völkerrecht, als die Handlungen in den Genfer Konventionen zu „schweren Verstößen" erklärt wurden, die von den Vertragsstaaten zu ahnden sind. H i e r liegt also immerhin eine völkerrechtliche Verpflichtung zum Strafen vor, die ersatzweise von dem Besatzungsgericht wahrgenommen wird. Probleme ergeben sich vorwiegend aus A r t . 9 der Charta über das Handeln auf Befehl, worauf zurückzukommen ist. Während sonst jeder Problemkreis von je einem Bearbeiter aus den beiden Ländern behandelt wird, ist Kapitel V I zwei sowjetischen Juristen anvertraut. Der 1. Beitrag von Christiakov (S. 155-166) beschränkt sich im wesentlichen auf tatsächliche Vorgänge in Osteuropa und schließt sich der Auffassung der Anklage an, auch das O K W müsse zur verbrecherischen Organisation erklärt werden. Daß die Charta im übrigen auf Völkerrecht beruhe, habe die Generalversammlung der V N verbindlich festgestellt. Das genüge. Der 2. Beitrag von lu. A. Rechetov (S. 167-176) gibt einen summarischen Uberblick über die Entwicklung des humanitären Völkerrechts, der sich freilich nicht auf die Zeit bis 1939 beschränkt und daher dazu verleitet, spätere Errungenschaften (etwa der Konventionen von 1949) zurückzuprojizieren. Es ist bemerkenswert, welche weitgehende rechtliche Bedeutung der A u t o r der Martens'schen Klausel beimißt. Weniger überzeugt, eine Berufung auf „militärische Notwendigkeiten" sei anstößig, obwohl sie in A r t . 6 Abs. 2 (b) ausdrücklich anerkannt ist und auch, daß der Status des Kriegsgefangenen ganz im Sinne des Vorbehaltes interpretiert wird, den die Sowjetunion gegen A r t . 85 der Konvention von 1949 einlegte. Kriegsverbrechen — so meint er — würden zu Verbrechen gegen die Menschlichkeit, wenn sie von hoher H a n d angeordnet würden. Dann wäre für sie auch der Staat verantwortlich, ohne daß die persönliche Verantwortlichkeit der unmittelbar handelnden Person entfiele. Sollte das nicht auch für „Kriegsverbrechen" gelten, die sich überhaupt vielfach mit Verbrechen gegen die Menschlichkeit überschneiden? Die schwer verständliche Umschreibung der Verbrechen gegen die Menschlichkeit in A r t . 6 Abs. 2 (c) der Charta versucht Clark in Kapitel V I I (S. 177-199) durch eine sehr eingehende Schilderung der Vor- und Entstehungsgeschichte deutlicher zu machen, was ihm jedoch nicht ganz gelingt. Das Hauptproblem ist das Verhältnis dieses Verbrechenstatbestandes zum ius in hello. Die Martens'sche Klausel, auf die das Verbrechen gegen die Menschlichkeit letztlich zurückgehe, habe das Gebot der Menschlichkeit in das Kriegsrecht einbezogen. Davon seien auch die drei alliierten Mächte ausgegangen, als sie 1915 bei der Hohen Pforte gegen den Völkermord an den Armeniern protestierten. Bei den Vorarbeiten, die zur Formulierung von A r t . 6 Abs. 2 (c) der Charta führten, war dieses Verhältnis auch eines der Hauptthemen.

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I m Text dieser Bestimmung sind eine ganze Reihe von Handlungen aufgeführt (wie „ M o r d " an Zivilpersonen usw.), die auch im Haager und Genfer Recht geregelt sind, außerdem aber Verfolgungen aus politischen, rassischen und religiösen Gründen, die in Ausübung oder Verbindung mit irgendeinem der Verbrechen begangen wurden, für die das Gericht zuständig ist. Dazu gehören jedenfalls Kriegsverbrechen sowie Verbrechen gegen den Frieden, nicht aber — wie der A u t o r annimmt (S. 195, Fußnote 71) — auch die Verbrechen gegen die Menschlichkeit selbst. Es sollte nun vermieden werden, das Gericht auch für die Judenverfolgungen in Deutschland vor Kriegsausbruch für zuständig zu erklären. Deshalb wurde die Einschränkung, daß auch sie mit einem anderen Verbrechen in Verbindung stehen müßten, durch eine redaktionelle Änderung — die Ersetzung eines Semikolons durch ein Komma — auf alle zu verfolgenden Tatbestände bezogen. Das kritisiert der A u t o r (S. 198) durchaus mit Recht. Er beanstandet es auch, daß die Erörterung einer Anwendung des Prinzips „nulla poena sine lege" auf die Verbrechen gegen die Menschlichkeit in unzulässiger Weise mit der Diskussion über seine Anwendung auf Kriegsverbrechen vermischt worden sei. (S. 194). Angesichts der engen Auslegung dieser Deliktsart habe sie praktisch kaum eine Rolle gespielt — nur zwei Angeklagte seien ausschließlich wegen Verbrechen gegen die Menschlichkeit verurteilt worden — wertlos seien aber die ausgebreiteten Erörterungen über sie nicht gewesen, da sie den Weg zur Schaffung der Konvention über den Völkermord geebnet hätten. Der aus dem common law stammende Begriff der Verschwörung („ conspiracy ") wurde dringend benötigt, um auch diejenigen verurteilen zu können, gegen die keine ausreichenden Beweise vorlagen, daß sie persönlich für eine Straftat zur Verantwortung gezogen werden können. S. Pomorski von der Rutgers Universität schildert in einem Beitrag, der sich durch seine dichte und sachliche Argumentation von denen anderer abhebt (Kapitel V I I I , S. 213-248), wie schwer greifbar und definierbar dieser Begriff im common law ist und auch welche Schwierigkeiten es bereitete, ihn den mit anderen Rechtssystemen vertrauten Delegationen zu erklären. Er selbst blieb skeptisch. Die Formulierung der Charta „is pretty much a horse drafted by a committee; no wonder that it looks more like a camel" (S. 223). Unzulässigerweise werde unterstellt, eine Person habe sich an der Verschwörung freiwillig und in Kenntnis verbrecherischer Absichten beteiligt. Das Gericht habe diesen Begriff, der in der Charta beim Verbrechen gegen den Frieden und dann aber auch allgemein in A r t . 6 Abs. 3 erscheine, nur mit großer Zurückhaltung angewandt. Als Grundlage für ein besonderes Delikt habe es ihn nicht betrachtet, sondern ihn nur im Zusammenhang mit dem Verbrechen gegen den Frieden verwandt. Eng habe es den Kreis der „Verschwörer" gezogen: N u r die wenigen für maßgebende Entscheidungen Verantwortlichen, nicht auch die große Zahl der am Rande Beteiligten. So hätten sich die Erwartungen derjenigen nicht erfüllt, die sich für diese Ausweitung einsetzten (S. 227-238). Derselbe A u t o r hat sich auch des eng mit der Vorstellung einer Verschwörung verbundenen Problems einer Kriminalisierung von Organisationen angenommen (S. 238-248). Die Bestimmungen der Artikel 9 und 10 der Charta nennt er zwiespältig. Die Beweislast für den freiwilligen Beitritt und die Kenntnis der verbrecherischen Absichten ist eine zentrale Frage. Nach der Charta sollten die Mitglieder der Organisationen nur angehört werden, woraus geschlossen werden könnte, sie hätten sich selbst zu

Book Reviews entlasten. Das Gericht hat jedoch aus dem Prinzip der Unschuldsvermutung diese Beweislast der Anklagevertretung auferlegt und damit einem grundlegenden Prinzip des Strafrechts den Vorrang vor Zweckmäßigkeitserwägungen zuerkannt. Der Verfasser hat diesen Vorgang eindrucksvoll geschildert und sich persönlich für die Lösung des Gerichts entschieden. Es hätte gar nicht anders handeln können. N i c h t mehr als eine summarische Bestandsaufnahme ist dem Problem der Ausstrahlung der Nürnberger Praxis auf das zukünftige Völkerrecht gewidmet. Sie findet sich in den Ausführungen von lu. A. Rechetov in den Kapiteln I V (S. 111-120) und V I I (S. 199-212), andererseits im Schlußkapitel I X (S. 249-263) von R. S. Clark. Zwar wird eine umfangreiche Liste von Instrumenten präsentiert, in denen die Prinzipien von Nürnberg bestätigt worden seien (S. 249), ohne diese jedoch zu kommentieren und erkennen zu lassen, in welchem Umfange sie bekräftigt worden seien. So ist es etwa nicht unerheblich, daß die I L C in ihrer Formulierung von 1950 den Begriff der „Verschwörung" fallen ließ und nur noch von der Teilnahme an einem Verbrechen („complicity") sprach. Ahnliches gilt für die lange Liste von Instrumenten des internationalen Strafrechts (S. 259 f.), die einer Erläuterung bedurft hätte. Vier Problemkreise werden in Kapitel I X besonders behandelt: (i)

Die Entwicklung einer internationalen Strafgerichtsbarkeit (S. 255 f.), die noch ganz am Anfang steht. Als die beiden Zusatzprotokolle zu den Genfer Konventionen 19741977 ausgearbeitet wurden, legten die Philippinen einen anspruchsvollen Entwurf vor ( C D D H / 5 6 , Add. 1 mit Rev. 1), der ausdrücklich abgelehnt wurde. Den laufenden Arbeiten des I L C an einem Draft Code of Offences (berücksichtigt bis 1988) räumt Clark keine großen Erfolgschancen ein (S. 252).

(ii)

Auslieferung, Asyl und die Aussparung politischer Straftaten (S. 257-260) stehen ohne rechten Bezug zu den zentralen Problemen von Nürnberg.

(iii) Die Rechte des Angeklagten. Da werden die Regelungen des Zivilpaktes von 1966 zwar erwähnt, aber nicht mit der Charta verglichen. (iv) Amtliche Stellung und Handeln auf Befehl: Da wurde A r t . 8 der Charta schon von der I L C 1950 abgeschwächt. 1973 nahm das I K R K unter Berufung auf Nürnberg einen A r t . 77 „Superior Orders" in seinen Entwurf des I. Zusatzprotokolls zu den Genfer Konventionen auf. In der Konferenz fand er keine Mehrheit. Schon diese Beispiele zeigen, daß das Thema, welche Modellwirkung die Nürnberger Praxis entfaltet hat, einer eingehenderen Behandlung bedürfte. Insgesamt zeigt der Band, daß diejenigen Straftatbestände, die sowohl seitens der Verteidigung wie auch in der Literatur — vor allem unter dem Gesichtspunkt des Verbots rückwirkender Strafgesetze — die schärfste K r i t i k fanden, nur eine sehr begrenzte praktische Wirkung entfalteten und daher die Frage nahelegen, ob es sich gelohnt habe, Neuerungen einzuführen, die mit überlieferten Rechtsprinzipien schwerlich vereinbar waren. Dabei haben sich doch eine ganze Reihe von Autoren darum bemüht, die Nürnberger Praxis als bedeutenden Fortschritt des Völkerrechts zu feiern. Karl Josef Partsch

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Alfred M. de Zayas w i t h the collaboration of Walter Rabus: The Wehrmacht War Crimes Bureau, 1939-1945. 2d ed., University of Nebraska Press, Lincoln / London 1990. X X + 364 pp., £ 15.15, paperback. Jurisprudence and history work together as auxiliary disciplines in reciprocal relation to each other. For the historian, laws and judicial decisions are valuable sources of information which he exploits w i t h his own tools. The lawyer must know the history of the laws and regulations which he applies, a task which requires extensive knowledge. In fortunate cases a single author has full command of the methods of both disciplines. A book written by such an author is more easily accessible for scholars of the different branches of knowledge as well as to the general public. But of course each reader will view it from his own specific angle and use it accordingly. Naturally the present review is confined to aspects of international law. The author of the book to be reviewed here holds degrees in law and history and has worked successfully in both fields. H i s main concern is human rights. (He has been working for more than 10 years w i t h the U N Center for Human Rights in Geneva.) H e combines the experience of two continents which have been desperately in need of a greater understanding in the post-war world. A n American, de Zayas has spent many years as a highly respected scholar in Europe. Dr. Walter Rabus, a Dutch expert in international law who earned his degree in Paris, has helped him by performing research covering both continents. The title of the book does not reveal the vast amount of research that was necessary to produce this concise report. I t suggests a simple description of the organization and activities of a "bureau" (which was in fact a legal division of German armed forces headquarters during W o r l d War II). The book does contain such a description, but at the same time it offers well-documented background information and meticulous scrutiny conducted on the basis of documents published elsewhere and over 300 interviews w i t h witnesses, surviving victims, members of observer groups, investigating teams, officials and other persons who know about the facts dealt w i t h in this book from their own experience. Many of them live in the United States and the author has interviewed them personally. A n even greater number spread throughout the world were reached by correspondence. Others, among them many residing in other non-European countries including Australia and Israel, have been interrogated in the course of court proceedings, records of which have been used by the author. This research was not done to exculpate the Bureau (which was never accused or indicted by any prosecuting agency), but to verify the facts to which its activities pertained. Whether the author intended it or not, this fact-finding endeavor makes the book important for historians and lawyers well beyond the historiography of the Bureau. Another possible misconception, nurtured by formulations in the foreword, must be corrected at the outset. The foreword introduces the book as "translated into English by the author". I n comparison w i t h the five German editions of the author's book Die Wehrmachstuntersucbungsstelle on which the present book is based shows that this is not true. (Anyone familiar w i t h the art of book-writing will be aware of this. The famous Czech novelist Ota F tip, who has been writing in German since he was forced to live in exile some 18 years ago, recently made his ordeal known when he was asked to translate one of his novels for publication at home. When he had finished the work he tore up the manuscript and wrote the book anew in his native tongue.) The German book, well over a hundred pages longer, first appeared in 1980 and was revised again and again for each new edition. The English book is based on the latest of these editions, but it was written anew, leaving out

Book Reviews explanations which the Anglo-Saxon reader does not need and adding others which had not been necessary for the continental-European reader. Substantial cuts were achieved by omitting the lengthy chapter on how official records were used in both W o r l d Wars and why allied observers were wary of German records (obviously the author assumes that nonGermans know this anyway) and by limiting the number of examples described in the English version. The "War Crimes Bureau" was strictly a bureau of investigation. I t neither prepared indictments, nor dealt out punishment. Its staff consisted of legal experts trained in gathering evidence, but naturally it had to rely on experts in other fields, especially concerning medical opinion. The author describes the predecessors and parallel organizations in W o r l d War I, both on the Allied and the German side and then proceeds to analyze the German Bureau created by a decree of the H i g h Command of the armed forces on 4 Sept. 1939. This decree pronounced strict limitations on the Bureaus's work, epitomized in the formula "violations of international law". Since the Bureau was not a branch of military law enforcement within the Germany army it had nothing to do w i t h the prosecution of violations of international law by German soldiers. (However, one of the major tasks of the 2,000 military judges on the field was to apply the Hague and Geneva conventions as well as military penal law in cases of obvious war crimes by German soldiers. The transcripts of the prosecution of German soldiers accused of rape, plundering or murder, including individual murder of Jews were sent to the Bureau for information. In some cases members of the Bureau sat as judges in such proceedings, which ended w i t h severe punishment.) Yet, the decree of 4 Sept. 1939, also authorized the Bureau to investigate "accusations raised by foreign countries against the Wehrmacht". The author notes that "the surviving 226 volumes of Bureau records include only a single volume on German war crimes". This may be partly explained by the fact that the Wehrmacht's own crimes were drawn into the Bureau's duties only in so far as foreign countries had filed an official protest through the institution of the protecting power. More important is the fact that the activities of the SS, SD, Gestapo, Party organizations and other groups who perpetrated the heinous crimes, of which the world learned at the end of the war, were totally outside the Bureau's competence. Although this limitation thrusts aside the bulk of the material which the ordinary reader associates w i t h the concept of war crimes in World War I I , the author devotes a separate chapter to "investigations of German war crimes". Throughout the whole book he carefully avoids any semblance to the ' t u quoque' argument. H e refrains from weighing individual or collective guilt against each other. H e takes each issue separately, analyzing it on the basis of ascertained facts and the laws of warfare. However, the question of action and reaction becomes especially sensitive in the short chapter on reprisals which the author divides into two main sections: reprisals in Russia and reprisals in maritime warfare. H e pointedly notes that the Bureau did not receive reports on German reprisal actions following partisan attacks. Before entering on the discussion of the two sections mentioned above, he lists spectacular cases like Oradour and Shitomir and declares that the German practice "was a clear offence against the principle of proportionality and accordingly constituted a grave violation of international law" (p. 104). D i d the German H i g h Command have any notion of international law? Given Hitler s notorious disdain for law in general ( " i t is a shame to be a lawyer" he once declared publicly), one would suspect that proposals by Wehrmacht lawyers concerning lawful behavior had little chance of being taken seriously. There have been many publications — especially biographies of members of the anti-Nazi resistance in the Wehrmacht — which corroborate

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this presumption. Some brave men even lost their lives when trying to stand up for the law. Against this background the chapter on "Wehrmacht conceptions of postwar international law" is of peculiar interest, though more for the historian than for the lawyer. The Bureau was not directly involved in drawing up proposals, but it did urge the army, navy and air force legal departments to send in reports which "could be of great value . . . in formulating new principles of international law". Fortunately the world was saved from principles of international law influenced or even dictated by Hitler and his followers. But the victory over the evil forces of Nazism has not obliterated the quest for historical t r u t h and legal clarity. I t would be Hitler s late triumph, if someone had the misguided idea to denounce the book because it analyzes the files of a Wehrmacht bureau and mentions crimes perpetrated by non-Germans. T r u t h is the foundation for justice and peace, as Pope John XIII stressed in his encyclical Pacem in terris in 1963. The post-war world did not offer ideal conditions for building this foundation, and it will take great efforts in the years — maybe decades or even generations — to come in order to fill the "blank spaces" still left by official historiography, as the experience in the Soviet Union and its former satellites shows. However, those who work for it deserve respect and gratitude. This is an additional aspect which makes this book valuable reading. O f particular interest to the lawyer is the chapter on war crimes trials which the Germans carried out against Polish, French and Soviet prisoners of war. The records of the proceedings against French Lieutnant Jules Levresse provide a good example of how the provisions of the Geneva convention of 1929 were applied w i t h respect to prisoners of war. Part I I of the book is of greater interest for the historian, as it describes in detail the background of war crimes in Katyn, Bromberg, Feodosia, Lvov, Grischino, as well as the shooting of the shipwrecked and the sinking of the German hospital ship Tübingen. The high praise which the German editions have received is even more appropriate for the English version which constitutes the apex of concision and accuracy. " A n academic job well done" was the verdict in the Netherlands International Law Review (1990, p. 300). "This is an excellent book" Christoper Greenwood claimed in the Cambridge Law Journal (1990, p. 148). One cannot top such eulogies, but one can affirm them. Otto Kimminich

Jochen Ahr. Frowein / Torsten Stein (eds.): Rechtliche Aspekte einer Beteiligung der Bundesrepublik Deutschland an Friedenstruppen der Vereinten Nationen. Materialien des K o l l o q u i u m s v o m 17./18.8.1989 ( = Rudolf Bernhard /Jochen Ahr. Frowein / Helmut Steinberger (eds.): Beiträge z u m ausländischen öffentlichen Recht u n d Völkerrecht, V o l . 101). Springer Verlag, Berlin / Heidelberg / New York 1990, ix + 129 pp., D M 78,—. Although United Nations peace-keeping operations received political support from the Federal Republic of Germany when in 1973 the F R G acceded to the U N , the Federal Government has thus far refrained from placing German troops at the U N ' s disposal. This is because the Federal Government holds the opinion that the Basic Law of the Federal Republic of Germany prohibits the use of armed forces for purposes other than the defence of German or N A T O territory. Under increased pressure upon the F R G to take a fair share of the international responsibility to maintain peace and security, political discussions came

Book Reviews up within and among German political parties as to a possible amendment to the Basic Law to enable the government not only to place civilian or police personnel but also armed forces at the U N ' s disposal. Meanwhile this discussion is only one aspect of a much broader political dispute regarding the permission and procedural requirements for the use of armed forces abroad. W i t h regard to peace-keeping operations the discussion focusses on Arts. 87 (a) para. 2 and 24 para. 2 of the Basic Law. A r t . 87 (a) para. 2 reads: Apart from defence, the Armed Forces may only be used to the extent explicitly permitted by this Basic Law. The crucial question is whether or not A r t . 24 para. 2 constitutes an "explicit permission" according to this article. Article 24 para. 2 reads: For the maintenance of peace, the Federation may enter a system of mutual collective security; in doing so it will consent to such limitations upon its rights of sovereignty as will bring about and secure a peaceful and lasting order in Europe and among the nations of the world. This Article was taken as the constitutional basis for the accession by the Federal Republic to the U N Charter in 1973. I n August 1989 the Heidelberg Max-Planck-Institut für ausländisches öffentliches Recht und Völkerrecht convened 24 experts in constitutional law and public international law to discuss these legal issues. In their introduction to the proceedings of this meeting, the editors explicitly refer to the international obligations of the F R G by raising the question of whether the Basic Law 'which is one of the most international law-oriented constitutions of the world' would really prohibit German participation in peace-keeping operations. The result of the discussion proved this question to be a rhetorical one: only two participants pleaded in favour of an amendment to the Basic Law. The documentation of the Heidelberg meeting contains two papers by the editors on the international legal status of peace-keeping forces and related consequences for German law (. Frowein , "Der völkerrechtliche Status von UN-Friedenstruppen und seine Bedeutung für das deutsche Recht", 1-15) and on the permission of a German participation in peacekeeping operations by constitutional law (Stein, "Die verfassungsrechtliche Zulässigkeit einer Beteiligung der Bundesrepublik Deutschland an Friedenstruppen der Vereinten Nationen", 17-30). The greater part of the documentation covers the discussions (31-95). A documentary annex reproduces selected documents on U N F I C Y P referring to the establishment of U N F I C Y P , the Status of Forces Agreement, the recruitment of national contingents, the Participating States Agreements, and Force Regulations (96-125). A short bibliography, the list of participants and an index complete the documentation. Frowein provides a brilliant expose on the regime of peace-keeping forces. H e contends that Chapter V I and A r t . 29 of the U N Charter provide a legally sufficient basis for establishing peace-keeping operations, which are qualified not only as successful in the past but also as of possibly increasing importance in view of future challenges.to the international community. Frowein points out that although peace-keeping forces are U N organs, the national troop contingents remain under national jurisdiction. W i t h regard t o the question under dispute, he confirms that A r t . 87 (a) para. 2 which was introduced into the Basic Law in 1968 did not amend or change A r t . 24 para. 2 w i t h the effect that participation in peacekeeping operations as well as in measures according to A r t . 43 of the U N Charter is not

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prohibited by German constitutional law. H e pleads, however, in favour of a federal law enacting skeleton provisions for German participation in peace-keeping operations. I n challenging the mainstream of constitutional law doctrine Stein introduced the thesis that a historic and systematic interpretation of A r t . 87 para. 2 would limit the applicability of this proviso to the use of armed forces within German territory. Thus, the use of armed forces abroad were limited only by the ban on wars of aggression as enshrined in A r t . 26 para. 1. For several reasons Stein , too, pleads for a federal law regulating the singularities of German participation in peace-keeping operations which, inter alia , should establish volunteer units for this purpose. The discussion dealt w i t h international law (pp. 31-42) and constitutional law questions (pp. 42-95) in turn. Various speakers underlined the obligation of U N member States to loyally co-operate w i t h the organization. The scope and range of obligations w i t h regard to peace-keeping operations, however, were under dispute in so far as a legal justification of peace-keeping operations by A r t . 29 of the Charter would establish a rather strict obligation of member States to comply w i t h U N decisions, whereas a foundation of peace-keeping operations upon customary law would constitute an obligation which gave member States more flexibility to take political considerations into account while complying (cf. Wolfrum , 34 et seq.; Steinberger , p. 38). W i t h regard to the Basic Law the overwhelming majority holds that A r t . 24 para. 2 establishes a clear and (in terms of A r t . 87 (a) para. 2) sufficient permission for the federal government to participate in peace-keeping operations. Stein , Tomuschat and others explicitly warn against an amendment to the Basic Law for three reasons: (1) Because an amendment limited to the participation in peace-keeping operations would influence the FRG's obligations under, inter alia , the N A T O treaty in the negative; (2) because in the event that an amendment is passed, uses of the armed forces as possibly necessary in the future (like the operation of verification units) would call for additional amendments as well; and (3) because a case-by-case regulation of details would be incompatible with the style and intent of the Basic Law (Tomuschat , p. 88). Klaus Dicke

W. E. Butler (ed.): Perestroika and International Law. Martinus Nijhoff Publishers, Dordrecht / Boston / London 1990, 313 pp, US $ 106,—. The collection of essays published in this volume originated in the T h i r d Anglo-Soviet Symposium on Public International Law held at University College on 20-22 March 1989 under the auspices of the Centre for the Study of Socialist Legal Systems, University College London, and the Soviet Association of International Law. The essays published in this book may be divided into two main groups, according to their subject-matter: the first group includes essays on general, theoretical problems of international law, whereas a second group deals w i t h specific topics of international law. To the first group belong essays on International Law and International System (G. I. Tunkin , O n the Primacy of International Law in Politics, J. A. Carty , Changing Models of the International System); Theory A n d Methodology O f International Law (D. I. Feldman, New Trends in the Theory of Methodology of International Law, C.J. Warbrick , The Theory of International Law: Is there an English Contribution); Sources O f International

Book Reviews Law (G. M. Danilenko, Sources of International Law in a Changing International Community: Theory and Practice, M. H. Mendelson, Are Treaties Merely Source of Obligation?). To the second group belong the following essays: The Law O f Diplomacy A n d Foreign Relations (I. /. Lukashuk , People's Diplomacy and International Lawyers); The Law O f The Sea (A. P. Movchan , The Law of the Sea in the Light of New Political Thinking, K. R. Simmonds , Deep Sea Bed Mining: The Protection of Pioneer Investment under the United Nations Preparatory Commission); A i r and Space Law (Ε. P. Kamentiskaia , International Legal Problems of Preventing an Arms Race in Outer Space, R. K. Gardiner , A i r and Space Law: Laying the Track and Leaving the Rails); International Environmental Law (P. W. Birnie , Legal Techniques of Settling Disputes; The "Soft Settlement" Approach, L. V. Korbut and Lu. La. Baskin , Protection of Water Resources Under International Law, A. E. Boyle , Chernobyl and The Development of International Environmental Law); The Role of International Institutions (N. B. Krylov , International Organizations and New Aspects of International Responsibility, K. R. Khan , The Law of International Economic Institutions and the Principle of Universality in the Contemporary International Legal Order); Legal Techniques of Dispute Settlement (G. G. Skirkaretskaia , International Adjudication Today in the View of a Soviet International Lawyer, C.J. Redgwell , New Developments in Techniques of Disputes Resolution: The Canadian-American Free Trade Agreement); The Law of Arms Control and Armed Conflict (J. V. Khamenov , Armed Conflict: Political and Legal Aspects, Α. V. Lowe , Peace W i t h o u t Justice: Reconstructing the Law on the Use of Force). Professor Tunkin in his essay describes his well known theory of the formation of international law as the process of the bringing of the wills of States into concordance. This theory has been already introduced in Tunkin' s book, Theory of International Law. This theory is quite controversial, and not widely accepted based on Triepel's theory of law. Professor Tunkin correctly points out that norms of international law are distinct from the phenomenon of politics. Arguable is his statement, however (p. 6), that norms of international law are formed in the sphere of international politics. Certainly it is true in some cases but it seems that there is not enough evidence to generalize on this issue (there are e. g. norms of international environmental law which not in all cases are formed by politics). Professor Tunkin draws, however, the correct conclusion that international law is different from politics and that "[tjogether w i t h politics it is essential to have a system of legal norms which establishes the parameters of politics, that is, an order, a legal order, which is obligatory for States" (p. 7). This author stresses mutual creative interaction between politics and international law. I n order to establish the primacy of international law certain conditions must be fulfilled, such as: the renouncement of armed force, the acknowledgement of general humanitarian values, the creation of effective international machinery for the functioning of international law and enhancing its effectiveness. Professor Tunkin' s conclusion on the special significance of accepting of compulsory jurisdiction by all States on the largest possible number of questions is certainly a change in Soviet doctrine of international law brought by perestroïka. Before "restructuring", the Soviet doctrine denied the importance of the International Court of Justice. I t would be interesting if Professor Tunkin elaborated more upon his theory of international law presented in his book, Theory of International Law, where he held the view that according to his theory of the concordance of wills, law is created by sovereign States which

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create legal norms binding on them by bringing the wills of state into concordance. Tunkin was of the view that the wills of State which are either identical or different in their class nature, clash in the process of creating norms of contemporary international law. They come to an agreement as to contents of a rule of behaviour and respect this rule as legally binding. One may question whether the influence of perestroïka has changed his views in this respect. J. A. Carty in his essay presents a critical analysis of the writings of Gorbachev , in particular his book, Perestroika , and of G. I. Tunkin , focussing his interest on the book, Law and Force in the International System. Furthermore, he assesses the classical rôle of liberal opinion and the "most highly qualified international publicists". The most innovative thoughts have been contained in a sub-chapter on the twilight of liberalism and the risks of perestroïka. Carty states that " . . . perestroïka can find support from outstanding developments in Soviet literary theory favouring a dialogic and horizontal rather than monologic and vertical approach to legal phenomena and legal normativity" (p. 25). This author is a proponent of the view that there is a place for the classical liberal style of reasoning and debate within the framework of international legal structures. The essay under review is very erudite. I t approaches perestroika from an unusual angle. However, due to the limitations imposed by the size of an essay, certain thoughts may seem to be rather hastily sketched and therefore complicated, creating quite a challenge to a lawyer without an extensive theoretical background. D. I. Feldman examines in his essay the relation between theory and methodology in international law. This author bases his reasoning on a critical analysis of Tunkin's "theory of concordance of wills". H e states that Tunkin's theory has endured the test of time, it must, however, take into consideration at present a new element, i. e. general humanitarian values. One may wonder whether indeed Tunkin s theory stood the test of time, having been based on the existence of two Soviet political systems: capitalism and socialism. Since the socialist system has collapsed, it may be difficult to find support for the theory of "concordance of wills" of States w i t h two different systems. The author under review presents some interesting thoughts on the rôle of mathematical modelling which is of special importance "while studying international legal aspects of global problems of the modern day and, in particular, the significance of international law as a regulator of inter-state relations w i t h regard to environment" (p. 34). C.J. Warbrick starts his essay w i t h an apt remark that the division line between professional and academic lawyers in England is blurring (p. 42). Further, the author proceeds to analyze the views on English doctrine on treaties and custom. I n relation to views expressed on treaties, this author gives an example of theories relating to the character of the U N Charter. Generally, he says "there is little evidence of the United Kingdom accepting the 'law-making' or 'institution-creating' effects of treaties for non-parties" (p. 47). As t o customary law, the Trendex case has established that customary law is a part of English law. Individuals, however, will seldom, if ever, be in a position to rely on customary law in an English court, whereas in relation to the treaties, implementing legislation is required. O n recognition and the relationship between domestic law and international law, the English experience is hostile t o any arguments which have related themselves to other jurisdictions (p. 50).

Book Reviews Generally, English lawyers and theoreticians seem to be disillusioned w i t h the rôle international law promised to fulfill and failed. Lawyers show little interest in the "grand" theory of international law "[rjeliance on practice, on custom and treaty, apparently allows to maintain his independence of political values" (p. 53). The author finally remarks that there w i l l be some scope for change only if international law will undergo structural changes which will allow inter alia , "the identification of values and rules of international law independently of practice of states directly involved" (p. 54). G. M. Danilenko in his essay analyzes sources of international law. The author follows Article 38 of the International Court of Justice Statute in his analysis. First he deals w i t h the concept of consent, then he looks into the possibility of the existence of new sources, not included in Article 38 of the ICJ Statute. According to Danilenko , the traditional position of the Soviet U n i o n is based on the principle of consent. This has remained unchanged (p. 63). The author under review holds traditional views on sources of international law. Recognizing the fact that some of them such as customary law have undergone changes, he remarks, however, that " . . . there is no consensus legitimating wholly new procedures of law creation" (p. 75). M. H. Mendelson analyzes treaties in relation to legislation and contracts. The starting point of his argument is a critical analysis of an article written by Sir Gerald Fitzmaurice "Some Problems Regarding the Formal Sources of International Law" (Symbalae Verzise 1958) in which the latter argued that treaties are not a formal source of law, but merely a source of obligation. Mendelson concludes that regarding views of Fitzmaurice on the rôle of contract (in comparison to treaties and legislation) were too simplistic even as a matter of municipal law. Although the legal character of a treaty may be controversial, Mendelson warns against treating it lightly. This author stresses the enormous importance of a treaty in the international legal process. Above all, treaty in absence of an international legislature " . . . as a source of obligations for the parties to them, treaties, and particularly multilateral ones, have an important part to play in information, determination and acceptance of customary norms" (p. 86). 1.1. Lukashuk analyzes a new phenomenon: people's or citizen diplomacy. This concept has two aspects: (1) "the diplomacy of people's or citizen diplomacy" means the activities of non-governmental social organizations and movements, as well as individuals who pursue the purpose of foreign policy, international relations, and law; and (2) "people's democracy" is the foreign activity of States directed to the peoples, in other word to public opinion. Both types of activities are closely interrelated (pp. 89-90). People's diplomacy gained an important place in the functioning in inter-State system. This is emphasized in Soviet doctrine. A t present diplomacy cannot act without links to the public. The new political thinking adheres to the concept of directly incorporating science into politics. Changes in the Soviet U n i o n have resulted in growing importance of scholars in politics. A n equally important rôle is played by international lawyers. Above all, of considerable importance is education, which " i n a spirit of people fosters an international consciousness which is of primary importance for the functioning of international law" (p.

102). W. E. Butler views foreign relations as State practice. The view through a comparative municipal law prism, is that foreign relations law is comprised of both law and "non-law".

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From a municipal perspective, foreign relations law is perceived as having the principal components: (1) international law as it applies to the municipal legal system concerned; and (2) municipal law concerned w i t h foreign relations matter (p. 11). I n analyzing definitions of foreign relations included in American and British law on foreign relations, it should be observed that while differences exist between them, both instances of the definition speak of domestic law and not other forms (p. 112). Butler states that State practice as a source of international law is a concept of international law and not municipal law. I n reference to Article 38 of the ICJ Statute, the author under review summarizes that this Article is perhaps "the principal authority for regarding State practice as an important element contributing to the formation of rules of international law" (p. 112). Butler holds an interesting point of view that foreign relations law should become an object of scrutiny for general principles of law which constitute evidence of a rule of international law. H e concludes that glasnost needs t o be brought into the practice of States in the form of foreign relations law. Foreign relations law should fulfill minimum standards of procedure and form, such as publication of a full text (p. 118). A. P. Morchan assesses the law of the sea in the light of the new political thinking. This author analyzes the nature of the 1982 Convention. H e assesses this Convention as a universal politico-legal document containing comprehensive provisions relative to the fate of the expanses and natural resources of the W o r l d Ocean. Morchan assesses the 1982 Convention as a significant achievement of the entire international community (p. 127). This Convention reflects the new principles of the law of the sea: the principles of the rational use and preservation of living marine resources, the principle of freedom of marine scientific research, the principle of protection of marine environment and the principle of use of the W o r l d Ocean for peaceful purposes (p. 129). The Soviet initiative is particularly significant in relation to embodiment of the principle of use of the W o r l d Ocean for peaceful purposes. K. R. Simmonds devotes his essay to one specific problem, namely deep sea-bed mining. This author mainly concentrates his attention on the Preparatory Commission ("PrepCom"), established under Resolution I annexed to the Final Act of the Conference. PrepCom was given special responsibility for the establishment of the International Sea-Bed A u t h o r i t y (ISBA) and the International Tribunal for the Law of the Sea. Simmonds in a very detailed way describes the problems related to deep sea-bed mining (such as licenses for seabed exploration, the right to apply for registration as a pioneer investor and the confrontation between the U N licensing scheme and that of "reciprocating States' regime" (p. 140). E. P. Kamenetskaia contributed to the book under review also w i t h a specific issue, i. e. legal problems preventing arms races in outer space. The author of the essay surveys Soviet practice and theory which had been relatively well known on this subject until recently. Kamenetskaia gives an interesting analysis of the A B M Treaty between the USSR and the USA, especially concerning the relation to Strategic Defense Initiative (SDI). Certain legal considerations have not been sufficiently developed. The author, e. g., states that: " . . . this agreement does not merely consolidate bilateral rights and duties of the parties, it treated a complex international situation of global significance. I t is the special rôle of a Treaty for the fate of the world which also predominates the duty of all States to facilitate compliance w i t h it and not to create any prerequisites for violating i t " (p. 162). I t would have been interesting

Book Reviews from a legal point of view if the reviewed author had developed these views (e. gfrom what sources stems the legal duty of third States to follow the bilateral agreement, since for third States it is res inter alios acta). R. K. Gardiner describes the recent developments in air and space law. H e analyses the development of the Chicago Convention and, in particular, Amendment to its Annex 2 in 1986 concerning cases of interception or action against civil aircraft which intrude, stray or otherwise excite a military response. This author states that as to the implementation of Article 3 (d) of the Chicago Convention, the I C A O "can have little strength to its elbow" and "[t]hat is largely left to the mercies of each state" (p. 170). Yet, the obligation to operate military aviation takes account the need for civil aviation safety, is a matter of continuing importance to the community. H e analyzes as well the protection of civil aviation against terrorism. Another interesting problem concerns the potential conflict between military and civil uses of outer space. The author under review surmises that "direct parallel w i t h air law is not very far advanced" (p. 173). P. W. Birnie regards legal techniques of settling disputes from the point of view of the "soft settlement" approach. This author introduces the reader to a very controversial concept of "soft law". There is no unity in doctrine as to the essential features of it. Some very prominent lawyers (e. g. Prosper Weil) deny the existence of soft law. Birnie gives numerous examples of such "soft law" instruments (Codes of Practice, Recommendations, Guidelines, Resolutions, and Declarations, so-called "umbrella" or "framework" treaties) (p. 180). One may have doubts if an "umbrella treaty" can be described as "soft law". Usually the notion of a "treaty" is connected w i t h legal effects specified in a doctrine and practice nature. The author under review puts forward a thesis that the "settlement of legal disputes is now largely frustrated, evidenced and effected by new developments in the law-making process itself; by increasing resort to new means of promoting and hastening development of customary international law . . . , the conclusion of treaties, and identification and application of appropriate principles" (p. 179). L. V. Korbert and Lu. La. Baskin presented an essay on the protection of water resources under international law. These authors analyze quite a number of international agreements on this subject. The essay would be enriched if it included the latest environmental agreements between the Eastern European States, such as the trilateral agreement between Czechoslovakia, the USSR, and Poland. I t was concluded in 1989, we might assume, under influence of perestroïka , which coming into existence contributed to admission of the appalling state of the Eastern European environment. The second point of this essay, on principles for protection of international rivers, although it poses a very interesting problem, could be more specific and explanatory. Some of the statements make an impression of containing thoughts requiring more elaboration (e. g. "[t]he application of this principle (of co-operation) to the domain of international river law represents a clarification, the manifestation of both the general and the specific" (p. 200)). Alan E. Boyle writes on Chernobyl and the development of international environmental law. The accident provided ample opportunity for international lawyers to dwell on problems connected w i t h State responsibility and liability. Boyle gives the usual survey work of the International Law Commission on the subject and the judgments of the International Court of Justice. A n interesting thought has been elaborated on civil liability schemes as an alternative method in dealing w i t h the transboundary costs of accidents, in order to facilitate transboundary civil liability proceedings by individual victims. To this

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effect, the author under review surveys existing conventions. The author concludes that "[t]he Chernobyl accident has significant consensus on principles on notification and cooperation in cases of nuclear emergency . . . " (p. 213). I t has contributed to enhancing the role of the I A E A in environmental matters. O n the other hand, not enough progress has been made in numerous fields, such as: problems arising in connection w i t h State responsibility and strict liability for creating transboundary nuclear risks. N. B. Krylow submitted an essay on international organizations and new aspects of international responsibility as subjects of international law. There are no general norms in contemporary international law which would regulate responsibility of international organizations. The author under review correctly distinguishes between the responsibility of States and that of organizations. International organizations are derivate, secondary subjects of international law. Krylow accords to international organizations, however, various kinds of responsibility, such as material responsibility and political responsibility. The author draws the correct conclusion that problems appertaining to the international responsibility of international organizations are not sufficiently worked out. The essay under review would have gained even more value if the author had mentioned the change in attitude of Soviet doctrine, which of international law in relation towards recognition of the legal international personality of international organizations. Soviet doctrine, which for a long time denied the international personality of international organizations, has upheld the view that only States possess international personality. Kabir-Ur-Ra1oman Khan analyzes the law of international economic institutions and the principle of universality in the contemporary international legal order. This essay approaches modern international law from an unusual angle. The author of this review has nonetheless some doubts as to the necessity of an introduction styled on salient features of international economic institutions. The short survey of international legal order from the Treaty of Westphalia (1648) to the U N Charter, appears to be redundant. Khan could have concentrated only on definition of the principle of universality. I n further parts of this essay, the author analyzes some selected international economic organizations, such as G A T T , the International Monetary Fund (IMF), and the W o r l d Intellectual Property Organization ( W I P O ) . The author of the essay analyzes principles of universality, effectiveness, and the equal or equitable basis of economic relationships. H e states that the principle of reciprocity, "a cardinal principle governing economic transaction w i t h its accompanying assumption of equal bargaining positions of the participants and more or less equal economic standard, is unsuited for a general organization such as G A T T " (p. 239). This reciprocity as applied in G A T T has been a single-track phenomenon. The author suggests changes such as the replacement of item-by-item negotiations by sector-based negotiations. N o t much positive can be said either about the work of IMF. A fixed party system was rather unrealistically based on ephemeral assumptions. Thus, it has been replaced by the traditional "endeavour". The author assesses in a rather positive way the issue of regionalism versus the global system. The role of G A T T ensures non-discrimination in providing the machinery for tackling non-tariff boundaries, in controversies between different units and States. Khan sees the possibility of real, future improvement in the case of building effective links between international and national systems.

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609

Sbinkaretskaia tackles the problem of international adjudication today in the view of a Soviet international lawyer. The author under review provides a survey of the Soviet attitude on international adjudication, and stating perhaps the obvious that: "[t]he negative attitude on the part of the Soviet U n i o n toward international adjudication has for many years been mentioned in the Western literature on the peaceful settlement of disputes" (p. 245). This attitude has undergone tremendous change, influenced by perestroïka. First and foremost, we must mention the emergence of a positive attitude towards compulsory adjudication of the ICJ. Sbinkaretskaia briefly outlines the functions of international courts and arbitration tribunals. H e emphasizes the great contribution of perestroïka for the development of Soviet studies on international adjudications. This domain of international law has until recently only academic significance for the Soviet scholars, but now that practical possibilities have emerged, academic interest has been enlivened, and the legal world may expect some in-depth studies on the subject of international adjudications coming from the Soviet Union. Catherine Redgwell dwells on one particular aspect of techniques of dispute resolution: The Canadian-American Free Trade Agreement. The Canada-United States Free Trade Agreement ( " F T A " ) of 1 January 1989, is according to the author of the essay "more than simply an example of bilateral co-operation between close neighbours . . . " (p. 259). I t is consistent w i t h Article X X I V of the G A T T (on establishment of free trade area arrangements), and refers frequently to the G A T T throughout its provisions. The F T A addresses two different kinds of disputes: those arising from the interpretation of the Agreement itself (Chapter 18, "Institutional Provisions"), and trade remedy provisions (Chapter 19, "Biactional Panel Dispute Settlement in Antidumping and Countervailing D u t y Cases"). The main question which arises can be styled as follows: Has the F T A established a useful model for the negotiations of dispute settlement procedures in the Uruguay Round? The author of the essay reaches a positive conclusion. She observes that given the origins of the G A T T and the dominant rôle of consensus therein, it is clear that whilst its dispute settlement procedures require reform, the F T A may provide a useful technical reference. I. V. Khamenev presents an essay on political and legal aspects of armed conflict. Khamenev distinguishes between several forms of armed interference: the intrusion or attack of armed forces of one State into the territory of another (e. g. sending of armed bands, groups, irregular forces, or mercenaries), and terrorism. The author under review gives an example of Iranian-Iraqi conflict as a conflict which arose from a protracted dispute over frontier questions as well as over other disagreements of a religious, political and national character. The author discerns another possible source of armed conflict: dispute over natural resources between developed, capitalist countries and developing countries. Khamenev presents some rather interesting and correct thoughts. I t is, however, detrimental to the essay that the author still uses legal and political jargon adopted in communist States prior to perestroïka. Having outlined, for example, in a correct way the background and reasons for the Israeli-Palestinian conflict, the author refers to "modern imperialism" headed by the United States (p. 275). Α. V. Lowe , in his essay, reconsiders the law on the use of force. The author presents an indepth study on the principle of non-intervention. The author under review states most correctly "[t]he maintenance of the principle of non-intervention is vital if self-determination is to have any meaning, and self-determination is itself vital if democracy within a State

39 G Y I L 34

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is to have any substance" (p. 283). Lowe observes that progress is being made in this direction by the acceptance of a right of humanitarian intervention. I t is to be noted, however, that the very conception of the State as an appropriate object of protection is neither self-evident nor universally held. To this effect, the author presents a very interesting analysis of the Islamic concept of umma, the community of all who profess Islamic faith. The whole of Islam is viewed as a seamless entity, in which political frontiers have little importance. Further effects of this concept might be that an attack on Islam in one Islamic (or even non-Islamic) State is an attack upon Islam in all States. (The author gives some other interesting examples to illustrate arguments, such as the notion "Arab nation" used by the Declaration of Independence made by the Palestinian National Council of 15 November 1988) (p. 286). W i t h i n the notion of "non-intervention", Lowe makes interesting comments on the Brezhnev Doctrine and the Monroe Doctrine. I n relation w i t h concepts of umma the author mentions the situation of author Salman Rushdie. Finally, W. Ε. Butler presents a system of teaching of H u m a n Rights in the USSR providing an attached syllabus for the course on the " H i s t o r y , Theory and Practice of Human Rights" offered to students of the Juridical Correspondence Institute. The author of this review appreciates the variety of legal issues dealt w i t h in this book. I t provides a comprehensive survey of the most topical international legal issues of today (law of the sea, environmental protection, armed conflict, settlement of disputes, soft law, etc.). The most interesting essays, however, are written on the subject of the evolution in Soviet legal thinking, as a result of perestroïka. I n this group, mention must be made of Shinkaretskaia's essay. The change in the Soviet attitude towards jurisdiction of the ICJ has been one of the most outstanding achievements of perestroïka. One wishes, however, that some essays would have been presented on the very essence of international law, as understood today in the Soviet doctrine. As it is widely known, the theory of international law which was based on the concept of "communist international law" belongs to the past. Another problem of interesting theoretical nature is how, at present, Marxism-Leninism influences international law theory in the Soviet Union. This book would be more complete if the Soviet scholars presented a problem of secession from the federation by particular republics. One must also notice that some of the essays although very interesting, did not really contribute to our understanding of perestroïka (e. g. very interesting but rather removed from perestroïka is the Redgwell essay). Notwithstanding the above remarks, the book under review is an excellent introduction to readers of the new Soviet thinking and an excellent example of what perestroïka really means to international law. M. Fitzmaurice

David Fisher : P r i o r Consent to International Direct Satellite Broadcasting. Martinus Nijhoff Publishers, Dordrecht / Boston / London 1990, Dfl. 135,-. I n 1982, the General Assembly of the United Nations passed the Resolution on "Principles Governing the Use by States of Artificial Earth Satellites for International Direct Television Broadcasting" ( G A Res. 73/92; U N Doc. A/37/51, 1982). The principles of this resolution require prior agreement between transmitting and receiving State before DBS (Direct Broadcasting by Satellite) is conducted.

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The author, David I. Fisher , examines the standing of this system of prior consent under the principles of international law. H e describes the emergence of the international debate on satellite broadcasting, especially in the U . N . H e presents the basic approaches towards DBS, from the principle of state sovereignty to the principle of freedom of information, and he tries to prove that both principles are not mutually exclusive. Beginning w i t h an examination of the 1967 Outer Space Treaty and the 1972 Liability Convention, Fisher presents the already mentioned resolution 37/92. The vote for this resolution in the General Assembly was the first time in history of U N C O P U O S ( U . N . Committee on the Peaceful Uses of Outer Space) that the consensus method had been sidestepped. Most Western states voted against or astained from voting on the resolution. Consensus could not be reached on principles on the compatibility of DBS activities w i t h sovereign rights of States and on international responsibility for DBS activities. Therefore, the consensus method had to be sidestepped to adopt the resolution which requires prior agreement. While most Western countries championed the principle of freedom of information, most developing countries preferred the principle of State sovereignty and require prior agreement between the sending and the receiving State as a precondition for DBS to a foreign country. Especially because a resolution of the General Assembly only constitutes a recommendation to the international community, an analysis of international treaty and customary law and of general principles of law is necessary to prove that the principles of resolution 37/92 do not declare existing law and are not binding. The author concludes this examination by resuming that State practice in the field of terrestrial broadcasting indicates that States have not used the principle of sovereignty as a means of excluding foreign broadcasting reaching their territories thus, finding a relative freedom of broadcasting w i t h no requirement of prior consent. Nevertheless, although resolution 37/92 is not binding it represents the most important declaration on DBS adopted by the international community, therefore, a claim of absolute freedom of information is not sustainable. Fisher favours a consent-to-system for future DBS activities, whereby the receiving State grants permission to entire DBS systems and not to individual programs. This system would appear to promote the interest in transborder information flow while at the same time providing the receiving State w i t h a certain measure of protection against the risk of unduly intrusive foreign broadcasting. This book may serve as a useful guide for those who wish to acquaint themselves w i t h an increasingly important field of space law: DBS. They will find a nearly complete introduction to its legal problems — reason enough recommend this book. Manfred

Hintz

Philip Kunig / Niels Lau / Werner Meng (eds.): International Economic Law — Basic Documents. Walter de Gruyter, Berlin / New York 1989, 691 pp., D M 2 2 8 , - . The editors (and publisher no doubt) would have preferred an immediate review of this well-selected collection of economic documents. But one cannot really judge a book of this nature without having to refer to it and thereby discovering if the materials are there or not. That is what we have done in Kiel and to our delight we managed to save ourselves from the usual "document search" posse by having the book at hand.

3*

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International Economic Law is divided into two major parts, that of "Institutions and Cooperation" and the "Regulation of the International Economy". "Institutions and Cooperation" comprises five categories, namely those of (a) Worldwide Economic Institutions, (b) Regional Economic Institutions, (c) Cooperation concerning Commodities, (d) Cooperation in Order to Protect International Investments, and (e) Documents in Order to Establish a New International Economic Order. "Regulation of the International Economy" consists of the following four sections: (a) International Trade, (b) Transnational Enterprises, (c) International Competition, and (d) International Transport. This collection is indeed "basic" and is not intended for the specialised user. (This is intentional on the part of the editors, see pp. xii-xiii). This book serves as an invaluable resource. Denise A. Bizzarro

Madeleine Reid : T h e Impact of C o m m u n i t y Law on the Irish C o n s t i t u t i o n . Irish Centre for European Law, Trinity College, Dublin 1990, 117 pp., N o price given. This study originated as a Masters thesis prepared for the European University Institute in Florence. Madeleine Reid sets out to explain the impact of European law on the constitutional jurisprudence of Ireland. In 1973, when Ireland acceded to the European Community, the fundamental principles of Community law were already well established. The referendum procedure already provided by the Constitution afforded an easy method for passing a comprehensive amendment eliminating any risk of conflict regarding the classic problems which arise between Community law in relation to national constitutional law. Ms Reid does not therefore explore the so-called "established developments", which might be termed the "first phase" of Community law's constitutional impact in Ireland. N o r does this study deal w i t h the other side of the coin; that is the question of the reciprocal influence of national constitutions, in particular that of Ireland, on the development of Community law. Ms Reid was interested in bringing across: What happens after the initial impact of accession, and how does one identify secondary impact, if any, Community law has on a national constitution? Rather than approaching the problem on a purely theoretical level, the author tries to find concrete examples of Community law modifying, affecting or changing the Irish constitution after its introduction. Three points of reference are provided. In the first place she considers social legislation and policy in relation to sexual equality concerning the highly religious tone and impact of the constitution, where, of course, the impact of European law is both immediate and significant. The second point of reference is identified under the heading of national identity. Because of the particularly marked nationalist ethos of the Constitution, this is quite a current and interesting issue. Finally, Ms Reid turns to the field of human rights. N o w , more than seventeen years after accession, a review of this subject is both timely and worthwhile, and it is to Madeleine Reid' s merit to have provided the reader w i t h an interesting work about the resulting impact of Community law on the Irish Constitution. Christiane Philipp

Book Reviews Ralph H. Folsom / John H. Minan (eds.): Law in the People's Republic of China: Commentary, Readings and Materials. Martinus Nijhoff Publishers, Dordrecht / Boston / London 1989, ca. 1000 pp., Dfl. 495,—. Das Buch der Professoren Ralph H. Folsom und John H. Minan bietet ein Kompendium über das chinesische Rechtssystem, das sich größtenteils in den 80er Jahren entwickelt hat. Es handelt von der Rechtstradition, der Beziehung zwischen KP und Verfassung, der Streitlösung, den juristischen Berufen, dem Verfahrensrecht der subjektiven Rechte sowie der Statuten der Sonderverwaltungsgebiete Hongkong und Macao. Es ist nicht nur für Vorlesungen und Seminare von hohem Wert, sondern auch als Einführung in das chinesische Recht empfehlenswert. Darüber hinaus bietet es für Kaufleute wirtschaftliche Hinweise. I m 1. Teil (The Chinese Legal Tradition) haben die Autoren, von dem historischen Hintergrund ausgehend, die Besonderheit der Entwicklung des chinesischen Rechts beschrieben und die Auswirkungen der philosophischen und juristischen Perspektiven des Konfuzianismus (Rujia) und der Legalisten (Fajia) für die chinesische Rechtsgeschichte dargelegt. Das ist logisch und folgerichtig geschehen. Es wird auch erwähnt, daß die juristischen Ideen von Konfuzius und Menzius von dem Politiker Zhougong, dem Vertreter mehrerer Politiker in der „Westlichen Zhou-Dynastie" ca. 1100-770 v.Chr., stammen, 1 denn diese Ideen haben den größten Einfluß auf die chinesische Rechtsgeschichte bewirkt. Kong Qiu und Meng Ke 2 haben dann diese Gedanken teilweise weiterentwickelt. Xun Kuang 3 verdanken wir schließlich die Gestalt der wichtigsten juristischen Ideen des Konfuzianismus (Rujia), nämlich „Tugendbildung als Hauptmittel, Strafbelehren als Nebenmittel". Deswegen ist es noch mehr von Bedeutung, wenn zum Studium des chinesischen Rechtssystems nicht nur die Rechtsidee des Konfuzianismus, sondern auch die Rechtsideen der „Westlichen Zhou-Dynastie", der wissenschaftlichen Richtungen H an RH Xuepai 4 und Huang Lao Xuepai 5 usw. beschrieben werden. I m 2. Teil (Dispute Settlement) haben die Autoren drei Kapitel geschrieben. Diese Struktur zeigt die drei Lösungswege der chinesischen zivilrechtlichen und wirtschaftsrechtlichen Probleme, nämlich Vermittlung und Versöhnung, Arbitrage sowie Gerichtsverfahren. Philosophisch im Sinne des Konfuzianismus sowie politisch wird begründet, daß die Vermittlung und Versöhnung in dieser Gesellschaft ein gutes M i t t e l für die Staatsstabilität darstellt. Ferner wird sehr gut auf die Praxis hingewiesen, daß die Chinesen die offizielle Arbitrage und das Gerichtsverfahren eher ablehnen und stattdessen eine freundliche Konsultation für wünschenswert halten. I m 3. Teil (The Legal Profession) über die Volksanwaltschaft, Organe der Volksanwaltschaft und Notare, und im 4. Teil (Procedural Law) wird ein Überblick über die Zivilprozeßordnung sowie ein tiefsinniger Kommentar über die Strafprozeßordnung gegeben. 1

Vgl.: chinesische Klassische Werke von Konfuzius' Studenten „Shang Shu". Kong Qiu (551-479 v.Chr.) und Meng Ke (372-289 v.Chr.), berühmte Philosophen, Gründer und Vertreter des Konfuzianismus. 3 Xun Kuang (ca. 298-238 v. Chr.), Vertreter von Han Ru Xuepai, auch ein berühmter Philosoph. Er legte nicht nur großen Wert auf Li (Tugend, Moral), sondern auch auf geschriebene Gesetze. Er hat eine wissenschaftliche Richtung „ R u Fa Kombinierung" gegründet. 2

4 5

Vgl. Chinesisches Konversationslexikon (Juraband) 1985, S.4, 685. Vgl. Chinesisches Konversationslexikon (Juraband) 1985, S. 288.

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I m 5. Teil (Substantive Law) wird das subjektive Recht in einigen wichtigen Bereichen systematisch kommentiert. Darüber hinaus werden wirtschaftsrechtliche und politische Perspektiven sehr gut aufgezeigt. Hier sollten allerdings zwei Abschnitte verbessert bzw. ergänzt werden: 1. „Banking and Controls". China hat folgendes Banksystem: Unter der Führung der Chinesischen Volksbank (vergleichbar der Zentralbank in der Bundesrepublik Deutschland), zu deren Zweigorganen die Verwaltungsabteilung für Devisen gehört, hat China zwei parallele Banksysteme: a) die Bank of China, die Industrie- und Commerzbank, die Landwirtschaftsbank, die Baubank und die Investitionsbank. Sie gehören zur „Spezialen Bank". Neben der Bank of China beschäftigen sich die obengenannten Banken auch mit dem Devisenhandel. 6 b) die Verkehrsbank und die China International Trust and Investment Bank gehören zur „Universellen Bank". 2. I n „Patents" wird darauf verwiesen, daß Ausländer innerhalb von zwölf Monaten eine eventuelle Patentanmeldung in China einreichen müssen. Diese Frist gilt jedoch nur für Ausländer, die innerhalb dieses Zeitraumes nach dem Tag, an dem sie im Ausland zum erstenmal eine Patentanmeldung für dieselbe Erfindung oder dasselbe Gebrauchsmuster angemeldet haben, eine Anmeldung in China einreichen. Für Ausländer, die eine Patentanmeldung für dasselbe Geschmacksmuster einreichen wollen, gilt aber eine andere Fristenregel: Einreichung der Anmeldung in China innerhalb von sechs Monaten nach dem Tag, an dem im Ausland zum erstenmal eine Patentanmeldung für dasselbe Geschmacksmuster eingereicht wurde. I m 6. Teil (Hongkong and Macao) wird die Rückgewinnung der Souveränität in Hongkong und der Entwurf des Grundgesetzes in Hongkong kommentiert. Besonders gut ist, daß vier juristische Probleme aus dem Entwurf analysiert werden. Nunmehr gibt es ein offizielles Grundgesetz 7 für Hongkong. Die Probleme, die von den Autoren aufgezeigt werden, scheinen in dem Grundgesetz des Sonderverwaltungsgebietes Hongkong in der V.R. China theoretisch gelöst worden zu sein. Aber in der Praxis werden die A r t . 17,18,158, 159 viele Fragen aufwerfen. Das Grundgesetzkomitee von Hongkong, das zu einer der Arbeitsgruppen des „Ständigen Ausschusses des Volkskongresses der V.R. China" gehört, wird sicher danach streben, auch diese Fragen zu lösen. Das Buch hat einen bestimmten Aufbau. Z u jedem Kapitel gibt es einen Kommentar, Abhandlungen und Gesetzesmaterialien. Dieser Aufbau hat zwei Vorteile: 1. Dem Leser werden theoretische Grundkenntnisse und verschiedene praktische Perspektiven angeboten, damit er verhältnismäßig umfassend das gegenwärtige Rechtssystem der V.R. China erfahren kann. Dadurch wird auch die Anziehungskraft dieses Buches erhöht. 2. Dieser Aufbau ist für die Autoren selbst eine große Anforderung, bessere Perspektiven als die der beigefügten Abhandlungen aufzuzeigen.

6

Vgl. Vorläufige Bestimmungen der Bankverwaltung in der V.R. China. „Grundgesetz des Sonderverwaltungsgebietes Hongkong in der V.R. China" (verkündet und in Kraft getreten am 26. Feb. 1990). 7

Book Reviews Zusammenfassung: Das Buch „Law in the People's Republic of China" ist vornehmlich staats- und wirtschaftsrechtlich ausgerichtet. Es enthält in der Hauptsache sehr gute Perspektiven und Rechtsmaterialien zum chinesischen Rechtssystem und zur chinesischen Rechtsentwicklung. Typisch für das Buch ist das Bestreben der Autoren, über die Darstellung der rechtlichen Strukturen hinaus philosophische, politische, kulturelle und wirtschaftswissenschaftliche Hintergründe zu erhellen. Jianhong Fan

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T. M. C. Asser Institute (ed.): Netherlands Yearbook of International Law 1989. Martinus Nijhoff Publishers, Dordrecht / Boston / London 1990, 478 pp. (inclusive of index), Dfl. 140,-. W i t h the 1989 issue the publishers of the Netherlands Yearbook provide the interested international lawyer w i t h Dutch practice on treaties, municipal legislation relating to international law as well as an overview of Dutch court decisions and legal writings on these topics. To this domain, the last two-thirds of the volume are devoted. I n its first part, the Yearbook contains four articles on current international law issues. Lady Hazel Fox elaborates on the possibility of States to be sued for tortious acts in municipal courts. I n her article "State responsibility and Tort Proceedings against a Foreign State in Municipal Courts" the author asks whether this possibility infringes the principle of sovereign immunity. In order to do so, she examines the traditional scope of state responsibility (p. 10) and sets this in contrast to the scope of the private law of tort (p. 12). She then continues to find case law in which States were in fact subject to tortious actions (p. 13). Here, Lady Fox concludes that case law prior to legislative exceptions supports two bases for a tort exception from immunity: first as wrongful conduct ancillary to a commercial action voluntarily entered by the State, and, secondly, as tortious infringement of a stranger's interest, which is legally protected and insurable under private law (p. 21). The author also examines express tort exception clauses in recent U K and US legislation and asks whether this legislation is in conformity w i t h international law. Christopher Greenwood in his article touches upon the law of belligerent reprisals, an issue which stood in the center of discussion after the Gulf War. Belligerent reprisals consist of action which would normally be contrary to the law of armed conflict, but which is justified because it is taken by one party to an armed conflict against another party in response to the latter's violation of those laws. The author defines the concept and preconditions of belligerent reprisals in both customary and treaty law. H e continues to examine how far at present belligerent reprisals are generally outlawed by the international community, and to what extent this applies to State which are, as for example the US and Iraq were in the Gulf War, not members to certain conventional instruments banning the use of belligerent reprisals such as Protocol I to the Geneva Convention. Greenwood draws the interesting conclusion that most of provisions of Protocol I, especially A r t . 51-56 which played a major rôle in the discussion during the second Gulf War, do not reflect customary international law (p. 64) and that hence those States that are not parties to the Protocol enjoy greater freedom of action in armed conflicts (p. 65). H. G. de Jong in his article "Aruba: A Separate 'Country' within the Kingdom of the Netherlands on its Way to Independence" deals w i t h the Island of Aruba's journey to independence which will take effect in 1996; during the interim period Aruba will remain a country within the Kingdom of the Netherlands. The author outlines the history of the

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Dutch colonies of the Antilles, as well as the history of their independence and discusses national and international consequences of Aruba's present status. The way the ICJ established the existence of customary international law and how its method fits into the system of international law is the subject of an article by P. P. Rijpkema. In order to do so, the author examines the court's analysis w i t h exact references to the relevant paragraphs and gives cross references to other cases. H e tries to trace where the court adhered to the traditional ways of customary law and where it applied new methods. Rijpkema comes to the conclusion that for establishing a rule of customary law the court under certain conditions, proceeds from an assumption that the alleged rule exists (p. 115 et seq.). A comprehensive and well arranged index rounds off this volume of the Netherlands Yearbook which has shown once again that it is a 'must' for international lawyers. Stefan Schmitz

Maurice Bertrand : T h e T h i r d Generation W o r l d Organization. Martinus Nijhoff Publishers, Dordrecht / Boston / London 1989, 217pp., Dfl. 125,-. Maurice Bertrand is an authority on problems of organization and functioning of the United Nations system. H e was a member of the United Nations Joint Inspection U n i t and the United Nations Group of Experts which, in 1986, reviewed the efficiency of the functioning of the United Nations. I n 1988 he was the Director of the U N I T A R International Roundtable on the Future Rôle of the United Nations in an Interdependent World held in Moscow. This book includes in its annex an extract of a Working Paper prepared for this meeting as well as extracts from Report A . 40/988 of 6 December 1985 presented by the author as a member of the Joint Inspection U n i t . From the perspective of Maurice Bertrand the ongoing search for peace and the awaking consciousness that most of today's problems are of global shape require a new type of what he calls a " T h i r d Generation W o r l d Organization". Analyzing the present structure of the United Nations and its achievements, he comes to the conclusion that the organization needs a complete restructuring in order to enable it to fulfil this task. The proposals made in this direction are based on a close view to the needs and possibilities in today's political circumstances, putting emphasis on the growing interdependence between the developed and the developing countries. This study, which does not adhere to popular criticism, contains many interesting aspects which are certainly w o r t h considering in the actual discussion about the future shape of the United Nations due to this author's competence. Silke Juretzka

Hedley Bull / Benedict Kingsbury I Adam Roberts (eds.): H u g o Grotius and International Relations. Clarendon Press, Oxford 1990, 312pp., £35.00. The works of Hugo Grotius have been held in high esteem by international lawyers since the 17th century. This book addresses the wider theme of his contribution to international relations. I t is the brain-child of Hedley Bull who died in 1985. However, many other well

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known authors have also contributed to this work. I t consists of twelve essays on Hugo Grotius and his impact on international law and international relations. Hedley Bull's essay serves as an introduction to the question of whether Grotius ' thoughts are still relevant in the 20th century, while the following articles focus on different aspects of his relevance. C. G. Roelofsen describes Grotius ' role in international politics of the 17th century whereas Peter Haggenmacher deals w i t h Gentili s influence on Grotius ' works. G. I. A. D. Draper examines Grotius ' place in the development of legal ideas about war, namely his ideas on the just war doctrine in his DeJure Belli Ac Pacts of 1625. W E. Butler deals w i t h the principle of the freedom of the seas which Grotius 1 formulated in his Mare Liberum of 1609. Hidemi Suganami elaborates on Grotius 9 thoughts on international equality and R.J. Vincent investigates Grotius ' place in contemporary debates on human rights and intervention. In addition to this, Rosalyn Higgins considers Grotius ' impact on the work of the United Nations. The last two essays present two contrasting views on the impact of Grotius ' thoughts on contemporary international law: Β. V. A. Röling comes to the conclusion that Grotius ' teachings are for the most part obsolete, while Georg Schwarzenberger believes that Grotius ' work is of continuing importance. A l l twelve essays are very informative and well selected. They give the reader a comprehensive picture of Hugo Grotius and his work on international law and international relations. Johannes Niewerth

William E. Butler (ed.): T h e Non-Use of Force i n International Law. Martinus Nijhoff Publishers, Dordrecht / Boston / London 1989, Dfl. 135,-. This work contains 16 essays in four chapters contributed by well known International Lawyers from the Soviet Union and the United Kingdom. These essays were presented at the Anglo-Soviet Symposium on Public International Law at the Institute of State and Law, USSR Academy of Sciences at Moscow on 21 to 24 May 1988. As an introduction Butler himself provides a very interesting presentation on the history of co-operation between the Soviet Union (Russia) and the United Kingdom on the field of international law. The following four chapters — " T h e Principle of the Non-Use of Force", "The Rôle of International Institutions", "Self-Defense" and "Economic Power" — cover the present state of the subject of non-use of force in international law almost comprehensively. A l l the various aspects of this important subject are dealt with, especially those regarding the avoidance of conflicts and, therefore, the use of force. The approach of some of these scholars is very practical in the sense of what exactly could be done in the field of International Institutions and Organizations, in particular the United Nations, whereas some other essays concentrate on describing the law and its application up until the time of the symposium in Moscow. Concluding, one can say that The Non-Use of Force in International Law is a very interesting work, especially because of the nationalities of the contributors of the essay. They provide an impression of what legal argumentation and opinion is on the subject of non-use of force in international law in the Eastern and Western world. The book shows the importance of engaging in this subject of International Law and trying to find new ways of avoiding or at least limiting conflicts and therefore the use of force in international relations. Kerrin Schillhorn

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Erwin Dich tel (Hrsg.): Schritte zum Europäischen Binnenmarkt. Deutscher Taschenbuch Verlag, Nördlingen 1990, 224 S., DM11,80. Dieses Buch enthält Kurzaufrisse der Istzustände und zu erwartende Konsequenzen auf dem Weg zum einheitlichen Europäischen Binnenmarkt 1993 für die wichtigsten Teilgebiete, wie Grenzkontrollen und technische Hemmnisse im Warenverkehr, gewerblicher Rechtsschutz und Urheberrecht, Mehrwert- und Verbrauchssteuer, Einkommens- und Unternehmensbesteuerung, öffentliches Auftragswesen und Telekommunikation, Berufsund Gewerbefreiheit, Verkehrsmarkt, Kreditgewerbe und Währungspolitik. Die Kurzbeiträge entstammen der Feder von elf Professoren verschiedener Fachgebiete der Universität Mannheim. Leider gibt das Buch keine Auskunft darüber, welcher Beitrag aus welchem Fachgebiet stammt. Berit Bartram

Wilfried Fiedler und Georg Ress (Hrsg.): Verfassungsrecht und Völkerrecht — Gedächtnisschrift für Wilhelm Karl Geck, Carl Heymanns Verlag K G , K ö l n / Berlin / Bonn / München 1989, 1038 S., DM256,50. A most sad event indirectly gives birth to a new work warmly welcomed by the living. I t is this ambivalence — necessarily the nature of a memorial work — that somehow prevents blatantly expressed delight. O n the other hand, this wide panoply of inspiring works by many outstanding authors, the detailed enumeration of which would overtax this heading, will honour Wilhelm Karl Geek's memory in a suitable manner. Forty-nine works have been dedicated to the academician and professor, whose interest was especially aroused by the correlations between public national and international law; three of which (including Hermann Moslers speech on the occasion of the commemoration) focus on his life and work. Alexander Wismeth

B. G. Ramcharan/L. B. Francis (eds.): Caribbean Perspectives on I n t e r n a t i o n a l Law and Organizations. Martinus Nijhoff Publishers, Dordrecht / Boston / London 1989, 460pp., Dfl. 250,-. This collection ^f essays gives a detailed description of the role and the situation of international lasv i ι .he Caribbean. O n the basis of the principles of international law having lately been reinforced in the international community, the aspirations and problems of this region connected herewith are illustrated from various points of view. The essays are mainly concerned w i t h the member States of the Caribbean Community ( C A R I C O M ) and those of the Organization of Eastern Caribbean States (OECS). The collection begins w i t h a general introduction including the historical development up to the present. In the articles following, special issues such as economic aspects and the situation of human rights in these countries are examined. Special emphasis is laid on foreign policy particularly w i t h regard to the super-powers and the problems of international law resulting from their unique geographical situation. W i t h the increasing importance of international law, it is necessary to reinforce the dialogue w i t h States or groups of States

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playing a minor rôle in international policy in order to develop a law which is accepted world-wide. By covering all topics worthwhile mentioning, the editors succeed in creating a basis for this dialogue. The reader is perfectly enabled to grasp an idea of the Caribbean viewpoint on international law. Jan Henrik Rothert

Norbert Karl Riedel·. Der Einsatz deutscher Streitkräfte im Ausland — Verfassungsund völkerrechtliche Schranken (Schriften zum Staats- und Völkerrecht, Band 34). Verlag Peter Lang, Frankfurt 1989, 324 pp., D M 6 9 , - . The Gulf war has once again raised the question of the Deployment of German armed forces abroad and in particular to crisis areas and war zones. Riedel tries to solve this legal problem w i t h regard to constitutional rules only, excluding political interests. H e extensively discusses the various settlements in the German constitution and in the U N Charter. As far as the special legal position of the Federal Republic of Germany is concerned, relating to the reserved rights of the Allies, many theoretical considerations are now obsolete due to the actual development of the unification of Germany. Starting w i t h the deployment of German armed forces to defend the FRG, chapter IV, the most detailed deals w i t h their deployment within the framework of the N A T O and the U N (pp. 79-221). Referring to their deployment determined by regulation of collective compulsory measures of the United Nations, Riedel is of the opinion that deployment would be admissible (in accordance w i t h art. 59 para. 2 and art. 24 para. 1 of the German Constitution) if Parliament has participated in the resolution. This should correspond w i t h the fundamental decision of the constitutional lawmakers to contribute to the safe-guarding of international peace. I t should furthermore be justified by the fact that membership in a comprehensive system of mutual collective security such as the United Nations, should guarantee Germany protection and security. O n the other hand the argument is put forward that the current legal position of the German Constitution (Basic Law) does not allow the deployment of the armed forces within the framework of the U N peace-keeping forces. This study provides a clear survey of the problems and covers Germany's internal affairs in detail. In all, the author's arguments are well-reasoned and precise and should be of interest, particularly in light of recent events. Britta Kröger

José Α. Pastor Ridruejo: Curso de Derecho Internacional Publico y Organizaciones Internacionales. Tercera Edition. Editorial Tecnos, S.A., Madrid 1989, 772 pp., N o price given. Das Buch von Pastor Ridruejo wendet sich an Absolventen der spanischen „Licenciatura en Derecho", die sich in den Gesamtkomplex des internationalen Rechts einarbeiten wollen. I n der Darstellung legt der A u t o r den Schwerpunkt auf den positivistischen Teil des

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internationalen Rechts, um, wie er sagt, dem Argument der Subjektivierung und Rechtsunsicherheit dieses Rechtsgebietes entgegenzutreten. Daher werden umfangreiche Rechtsquellen und Rechtsnormen, wie Entscheidungen des I G H in Den Haag und diverse Vertragstexte multilateraler Konventionen zitiert. Der A u t o r versucht jedoch unter Berücksichtigung auch einer soziologisch-politischen Betrachtungsweise andere, nicht streng objektive methodologische Aspekte einzubeziehen, um die seiner Meinung nach im internationalen Recht bestehende Verbindung von Idealismus und Realismus dem Leser nahezubringen. Bei der vorliegenden dritten Ausgabe seines Werkes hat Pastor Ridruejo erneut den T i t e l leicht modifiziert, um seiner immer detaillierter werdenden Berücksichtigung der internationalen Organisationen, hier vor allem der U N O , schon nach außen hin Ausdruck zu geben. Er widmet nunmehr fast ein Viertel seines Buches den internationalen Organisationen im Allgemeinen und der U N O in ihren Spezialorganen im Besonderen. Dabei legt er ausdrücklich auf einen mehr funktionalen als auf einen an der Verfassung der jeweiligen Organisation orientierten Ansatz seiner Darstellung Wert, da diese Organisationen unabhängig von einer zunehmenden Politisierung ihrer Tätigkeiten, die Aufgabe der Förderung des Friedens und des Fortschritts der gesamten Weltgemeinschaft erfüllten und erfüllen müßten. Pastor Ridruejo hat in die Neubearbeitung seines Lehrbuches auch die jüngeren Entwicklungen der spanischen Völkerrechtspraxis eingearbeitet, die ihm als Leiter des völkerrechtlichen Beirates des spanischen Außenministeriums besonders zugänglich sind. Für die Autorität seiner Darstellungen spricht ferner seine langjährige praktische Tätigkeit unmittelbar bei den Vereinten Nationen und sein Ruf als Rechtsprofessor, nunmehr an der Universität von Madrid, sowie seine Mitgliedschaft am Institut de D r o i t International. Den Kern des Buches bildet aber natürlich eine umfangreiche Darstellung aller wichtigen Themen der aktuellen Völkerrechtslehre sowie ein umfangreiches Stichwörter-, Rechtsprechungs- und Autorenverzeichnis. Es fehlen in der aktuellen Ausgabe lediglich Kapitel über regionale internationale Organisationen und der Institutionen der Europäischen Gemeinschaften. Diese hat Pastor Ridruejo aber bereits für eine Neuauflage angekündigt. Peter Bracker

Michel Virally: Le Droit International en Devenir. Essais Ecrits au Fil des Ans. (Publications de l'Institut de Hautes Études Internationales — Genève), Presses Universitaires de France, Paris 1990, 504 pp., FF 250,-. This book which appears as a publication of the Institut Universitaire de Hautes Études Internationales at Geneva where the author taught since 1961, contains a broad collection of essays by the French jurist Michel Virally (1922-1989). Virally was one of the few people to have discussed in detail the different aspects of public international law. So this collection of essays from several decades represents a synthesis of all public international law, and also contains theoretic or philosophic juridical works as utmost concrete analyses and articles. The book is divided into five parts reflecting the different themes which are respectively illustrated by several essays, whose selection and compilation Virally himself contributed to before his death.

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The first part is over the "Théorie générale du D r o i t " in which Vir ally' s leanings toward the philosophic aspects of law becomes obvious. Indeed, during his life Vir ally had been engaged in the perception of theoretical or philosophical questions besides his preoccupation w i t h concrete problems. This interest in the theoretic debate appears also in the second part dedicated to the "Sources du D r o i t " , in which — inter alia — articles about the ius cogens, the juridical value of recommendations and the lex ferenda are included. I t is followed by an extensive chapter devoted to the "Organisations Internationales", one of the main interests of Michel Vir ally. As in his major work "L'Organisation mondiale" of 1972, the aspects dealt w i t h in this chapter are mainly in connection w i t h the U N . After a shorter section about the „Règlement pacifique des différends nationaux", the collection of essays is concluded by the last chapter concerning the " D r o i t International Economique". This last chapter provides a good example of one of the main characteristics of Michel Vir ally' s work, namely, the interest he always shared in new themes and his sensibility towards the scientific challenges of the future. The particular value of this book can be seen in the exceptional breadth of themes dealt with. Altogether, it presents a good overview of the extensive work of a jurist who was a remarkably active practitioner as well as a great scholar. Sonja Behrens

Manfred Wandt: D i e Geschäftsführung ohne A u f t r a g i m Internationalen Privatrecht. Duncker & H u m b l o t , Berlin 1989, 294 S., D M 118,-. Erklärtes Ziel der Dissertation von Manfred Wandt ist die Aufnahme der wissenschaftlichen Auseinandersetzung mit diesem Gebiet des internationalen Privatrechts, um dadurch dieses seiner Meinung nach stark vernachlässigte Institut zu durchdringen und die zu erwartende gesetzliche Regelung zu fördern. Die uneinheitlichen und veralteten Stellungnahmen in Rechtsprechung und Literatur machten angesichts der Vielzahl der möglichen kollisionsrechtlichen Anknüpfungspunkte für das auf das gesetzliche Schuldverhältnis anzuwendende Recht eine Systematisierung um so dringlicher. Nach der Darstellung von Rechtsprechung und Literatur bietet er einleitend für seinen eigenen Ansatz noch einen rechtsvergleichenden Uberblick über relevante Regelungen in den Nachbarstaaten. I n seiner Untersuchung der kollisionsrechtlichen Behandlung der Geschäftsführung ohne Auftrag beschränkt Wandt sich ausdrücklich auf die „echte", also für einen anderen beabsichtigte, Geschäftsführung ohne Auftrag, da die „unechte" Geschäftsführung ohne Auftrag eher eine Erweiterung des Schutzes gegen vorsätzliche Eingriffe Dritter in absolute Rechte, und damit dem Deliktsrecht verwandt, sei. Diese unterschiedlichen materiellrechtlichen Funktionen verbieten seiner Meinung nach eine kollisionsrechtliche Gleichbehandlung. Der A u t o r stellt zunächst die möglichen Methoden der Feststellung des Schwerpunktes des Rechtsverhältnisses im Sinne von Savigny's „Sitz" dar. Hierfür kommen, bei einem rechtsvergleichenden Ausgangspunkt, der Vergleich mit einem Vertrag oder einer unerlaubten Handlung in Frage. Wandt entscheidet sich schließlich für die Neuschöpfung einer Kollisionsnorm, da dem Rechtsinstitut als Ganzem die Analogiefähigkeit fehle. Durch eine systematisch-begriffliche statt einer funktionellen Anknüpfung drohe die gebotene Einheitlichkeit der Anknüpfung der echten Geschäftsführung ohne Auftrag verloren zu gehen. So steht die Ermittlung von geeigneten Anknüpfungsgegenständen im Mittelpunkt, wobei Wandt nach verschiedenen Fallgruppen differenziert. I m Bereich der Regelanknüpfungen

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unterscheidet er die sach- und personenbezogene, die pflichten- und rechtsbezogene, die vermögensbezogene sowie schließlich die neutrale Geschäftsführung ohne Auftrag. I m Bereich der Ausweichanknüpfungen geht es um Fragen der Sonderverbindung und einer lex communis der Parteien sowie um die Parteiautonomie. Innerhalb jeder dieser Gruppen arbeitet Wandt zunächst, soweit vorhanden, den Meinungsstand auf und liefert dann seine eigene Stellungnahme. Anschließend greift er kurz die Probleme des renvoi und des ordre public auf, wobei er nach der Erörterung in Verbindung mit der echten Geschäftsführung ohne Auftrag jeweils für eine zurückhaltende Anwendung plädiert. I m Ergebnis k o m m t Wandt schließlich dazu, daß in allen Fällen das Recht des Ortes maßgeblich sei, an dem das vom Geschäftsführer wahrgenommene Interesse des Geschäftsherrn lokalisiert sei. Auftragslose Geschäftsführung sei grundsätzlich die Wahrnehmung fremder Interessen; durch den fremden Interessenkreis werde im Sachrecht die Qualifikation bestimmt, im Kollisionsrecht folge daraus der Schwerpunkt des Sachverhaltes. Dabei komme es zu einer Konkretisierung durch die Zuordnung des Handelns für einen fremden Interessenkreis zu dem fremden Objekt. Kollisionsrechtlich werde damit das Recht zur Anwendung berufen, dem zum Beispiel die Sache, die Forderung oder die Person als „ O b j e k t " unterstehe — also etwa die Anwendung der lex rei sitae, des Forderungsstatutes oder des Rechts des jeweiligen Aufenthaltes. Auch die anderen entwickelten Fallgruppen ordnet Wandt über einen Objektsbezug des jeweils berührten Interesses im Sinne seines Prinzips zu. Z u m Abschluß seiner ausführlichen Darstellung macht er einen Formulierungsvorschlag für einen neuen Artikel 38 EGBGB, in den das Ergebnis seiner Untersuchung eingearbeitet ist. Peter Bracker

Books Received ( Inclusion in this list neither assures nor precludes later review)

Académie de Droit International (ed.): Recueil des Cours, Vols. 1988/IV, 1989/V, 1990/1. Martinus N i j h o f f Publishers, Dordrecht / Boston / London 1990, circa 400 pp., each Dfl. 185,-. Christoph Anderle : Der Haftungsumfang des harmonisierten Produkthaftungsrechtes — Der Schadensbegriff der E G Richtlinie Produkthaftung und des deutschen Transformationsgesetzes. C. F. Müller Juristischer Verlag G m b H , Heidelberg 1990, X I I I + 181 S., DM88,-. Belatchew Asrat : Prohibition of Force under the U N Charter — A Study of A r t . 2(4). (Uppsala University Swedish Institute of International Law = Studies in International Law, Vol. 10). Iustus Förlag, Uppsala 1991, 275 pp., N o price given. David B. Audretsch: The Market and the State — General Policy towards Business in Europe, Japan and the United States. Harvester Wheatsheaf, New York / London / Toronto / Sydney / Tokyo 1989, 325 pp., US $ 85.50. Wolfgang Benedek : Die Rechtsordnung des G A T T aus völkerrechtlicher Sicht. (Beiträge zum ausländischen öffentlichen Recht und Völkerrecht. Hrsg. Rudolf Bernhardt / Jochen Ahr. Frowein / Helmut Steinherger, Bd. 100). Springer-Verlag, Berlin et al. 1990, 590 S., D M 248,-. Berichte der Deutschen Gesellschaft für Völkerrecht. Rechtsfragen der Rüstungskontrolle im Vertragsvölkerrecht der Gegenwart. (Legal Questions of Arms Control in Contemporary International Treaty Law, Bd. 30). Reports by Michael Bothe / Wolfgang Graf Vitzthum w i t h English summaries and pertaining discussions. C. F. Müller Juristischer Verlag, Heidelberg 1990, 203 pp., D M 9 8 , - . Berichte der Deutschen Gesellschaft für Völkerrecht. Recht der Flagge und „Billige Flaggen" — Neuere Entwicklungen im Internationalen Privatrecht und Völkerrecht. (Law of the Flag and "Flags of Convenience" — Recent Developments in Private International Law and Public International Law, Bd. 31). Reports by Ulrich Drohnig / Jürgen Basedow / Rüdiger Wolfrum with English summaries and pertaining discussions. C. F. Müller Juristischer Verlag, Heidelberg 1990, 201 pp., D M 98,-. Romualdo Bermego : L'Antarctique et ses Ressources Minérales: Le Nouveau Cadre Juridique. (Publications de l'Institut Universitaire de Hautes Études Internationales). Presses Universitaires de France, Genève 1990, 205 pp., N o price given. Balthasar Bessenich: Die grenzüberschreitende Fusion nach den Bestimmungen des I P R G und des O R . (Juristische Fakultät der Universität Basel, Bd. 50). Helbing Lichtenhahn Verlag, Basel / Frankfurt am Main 1991, 222 S., Sfr. 64,-. Arie Bloed (ed.): From Helsinki to Vienna: Basic Documents of the Helsinki Process. Martinus N i j h o f f Publishers, Dordrecht / Boston / London 1990, 304 pp., Dfl. 150,-.

Books Received

625

Mark M. Boguslawskij (Hrsg.): Internationaler Technologietransfer. Rechtliche Regelungen. Verlag Recht und Wirtschaft G m b H , Heidelberg 1990, 418 S., D M 2 7 5 , - . Michael Bothe / Peter Macalister-Smith / Thomas Kurzidem (eds.): National Implementation of International Humanitarian Law. (Proceedings of an International Colloquium held at Bad Homburg, 17-19 June 1988). Martinus Nijhoff Publishers, Dordrecht / Boston / London 1990, 286 S., Dfl. 150,-. Sir Leon Brittan : Competition Policy and Merger Control in the Single European Market. (Hersch Lauterpacht Memorial Lectures). Grotius Publications Limited, Cambridge 1991,56 pp., £15.00. Guillermo Cabanelles / José Massaguer: K n o w - H o w Agreement and EEC Competition Law. ( I C C Studies, Vol. 12). V C H Verlagsgesellschaft, Weinheim / New York / Basel / Cambridge 1990, X V + 259 pp., D M 130,-. The Canadian Yearbook of International Law / Annuaire Canadien de D r o i t International, Volume / Tome X X V I I , 1989. (Edited by C. B. Bourne). The University of British Columbia Press, Vancouver, B . C . 1990, 552pp., C A N $ 6 5 . 0 0 . Vincent Coussirat-Coustère / Pierre Michel Eisemann (eds.): Repertoire de la Jurisprudence Arbitrale Internationale, Tome I I I / V o l . I l l (1946-1988). Martinus Nijhoff Publishers, Dordrecht / Boston / London 1991, 1008 pp., Dfl. 895,-. Helmut Debatin / Dieter Endres : Das Neue Doppelbesteuerungsabkommen USA / Bundesrepublik Deutschland [The New US / German Double Tax Treaty]. (Herausgegeben von Price Waterhouse G m b H ) . C. H . Beck'sche Verlagsbuchhandlung, Frankfurt a.M. 1990, X I I I + 340 S., D M 120,-. Jörg Etzkorn-. Rechtsfragen des internationalen elektronischen Zahlungsverkehrs durch S.W.I.F.T. Walter de Gruyter, Berlin / New York 1991, 162 S., D M 110,-. Carlos Fdez. de Casadevante Romani : La proteccion internacional del medio ambiente. (Separata de Cursos de Derecho Internacional de Vitoria-Gasteiz, 1988). Servicio Editorial Universidad del Pais Vasaco / Argitarapen Zerbitzua Euskal Herriko Unibertsitatea. San Sebastian 1990, 315 pp., N o price given. Joseph Gold : Legal Effects of Fluctuating Exchange Rates. International Monetary Fund, Washington, D . C . 1990, X V I I I + 473 pp., US$37,50. Vera Gowlland-Debbas : Collective Responses to Illegal Acts in International Law — United Nations Action in the Question of Southern Rhodesia. Martinus Nijhoff Publishers, Dordrecht / Boston / London 1990, 753 pp., Dfl. 350,-. Rolf Herber / Beate Czerwenka : Internationales Kaufrecht. C. H . Beck'sche Verlagsbuchhandlung, München 1991, X L I I I + 618 S., D M 9 8 , - . Institute of International Public Law and International Relations (ed.): The Evolution of International Law since the Foundation of the U N , w i t h Special Emphasis on Human Rights. (Thesaurus Acroasium, Vol. X V I ) . Thessaloniki 1991, 881 pp., N o price given. Institute of International Public Law and International Relations of Thessaloniki (ed.): The Law of the Sea w i t h Emphasis on the Mediterranean Issues (Thesaurus Acroasium, Vol. X V I I I ) . Thessaloniki 1991, 816 pp., N o price given. Institut de Sociologie et A . S. B. L. Aide Info Sida (ed.): Le Sida: U n défi aux Droits. (Actes de Colloque Organisé à l'Université Libre de Bruxelles les 10, 11 et 12 Mai 1990). Établissements Êmile Bruylant, Bruxelles 1991, 888 pp., Bfr. 4.250. International Geneva Yearbook, Vol. IV, 1990. (Edited by Ludwik Dembinskî). Martinus Nijhoff Publishers, Dordrecht / Boston / London 1990, 330pp., Dfl. 110,-.

40 G Y I L 34

626

Books Received

International Labour Law Reports, Vol. 9. (Edited by Zvi H. Bar-niv). Martinus Nijhoff Publishers, Dordrecht / Boston / London 1990, 590 pp., Dfl. 345,-. International Monetary Fund (ed.): W o r l d Economic Outlook, Max 1991, International Monetary Fund Publications Services, Washington, D.C. 1991, X + 218 pp., US $ 30.00. Hiran W. Jayewardene: The Regime of Islands in International Law. Martinus Nijhoff Publishers, Dordrecht / Boston / London 1990, 572 pp., Dfl. 315,-. Heike Jung (Hrsg.): Der Strafprozeß im Spiegel Ausländischer Verfahrensordnungen Frankreich, Osterreich, Schweiz, UdSSR, USA. Walter de Gruyter, Berlin / New York 1990, X I + 164 S., D M 8 8 , - . Christine Langenfeld: Die Gleichbehandlung von Mann und Frau im Europäischen Gemeinschaftsrecht. Nomos Verlagsgesellschaft, Baden-Baden 1990, 322 S., D M 7 8 , - . Elihu Lauterpacht: Aspects of the Administration of International Justice. (Hersch Lauterpacht Memorial Lectures). Grotius Publications Limited, Cambridge 1991, 166pp., £35.00. Richard B. Lillich: International Human Rights: Problems of Law, Policy and Practice, 2d ed., Little, Brown and Company, Boston / Toronto / London 1991,1062 pp., US $ 44.00 (Documentary Supplement US $ 8,95). J. M. M. Maeijer / K. Geens: Defensive Measures Against Hostile Takeovers in the Common Market. Martinus Nijhoff Pubiishers / Graham & Trotman, Dordrecht / Boston / London 1990, 230 pp., Dfl. 145,- / £49.00. Sergio Marchisio / Antonetta Di Blase: The Food and Agriculture Organization. (International Organization and the Evolution of W o r l d Society, Vol. 1). Martinus Nijhoff Publishers, Dordrecht / Boston / London 1990, 248 pp., Dfl. 175,-. Adolfo Maresca: Dizionario Giuridico Diplomatico. D o t t . A . Giuffrè Editore, Milano 1991, 624 pp., N o price given. / . G. Merrills : International Dispute Settlement. Grotius Publications Limited, Cambridge 1991,288 pp., £19,50. The Netherlands Institute for the Law of the Sea (ed.): International Organizations and the Law of the Sea 1988. Martinus Nijhoff Publishers, Dordrecht / Boston / London 1990, 665 pp., Dfl. 315,-. Myron H. Nordquist (ed.): United Nations Convention on the Law of the Sea 1982 — A Commentary, Vol. 4. (Center for Oceans Law and Policy, University of Virginia). Martinus N i j h o f f Publishers, Dordrecht / Boston / London 1990, 769 pp., Dfl. 365,-. Pax — lus — Liberias. Miscellanea in Honorem Demetrii S. Constantopuli. (Acta Legalia Quotannis Edita a Schola Iurisprudentiae, 2). Aristotelea Universitas Studiorum Thessalonicensus. Thessalonicae 1990, 1313 pp., N o price given. Adam Roberts / Benedict Kingsbury (ed.): United Nations, Divided World — The U N ' s Rôles in International Relations. Clarendon Press, Oxford 1989, £9.95. Natalino Ronzitti (ed.): Maritime Terrorism and International Law. Martinus Nijhoff Publishers, Dordrecht / Boston / London 1990, 185 pp., Dfl. 125,-. Peter H. Sand: Lessons Learned in Global Environmental Governance. W o r l d Resources Institute, Washington, D . C . 1990, 60 pp., N o price given. Petar Sarcevic / Hans van Houtte (eds.): Legal Issues in International Trade. Graham & Trotman / Martinus Nijhoff Publishers, London / Dordrecht / Boston 1990, 225 pp., Dfl. 145,-.

Books Received

627

Marco Sassoli : Bedeutung einer Kodifikation für das allgemeine Völkerrecht (mit besonderer Betrachtung der Regeln zum Schutze der Zivilbevölkerung vor den Auswirkungen von Feindseligkeiten). (Juristische Fakultät der Universität Basel. Schriftenreihe des Instituts für Internationales Recht und Internationale Beziehungen, Bd. 47). Helbing & Lichtenhahn Verlag, Basel / Frankfurt am Main 1990, 538 S., Sfr. 98,-. Albert J. Schmidt (ed.): The Impact of Perestroika on Soviet Law. Martinus Nijhoff Publishers, Dordrecht / Boston / London 1990, 558 pp., Dfl. 315,-. Elena Sciso: Le risorse dell'Antartide e il D i r i t t o Internazionale. (Dipartimento di diritto delPeconomia dell'Università di Napoli, N . 8). Padova — C E D A M — Casa Editrice D o t t . Antonio Milani, Napoli 1990, X V I + 396 pp., L i t . 45.000. Shimon Shetreet (ed.): Free Speech and National Security. (International Studies in Human Rights, Vol. 16). Martinus Nijhoff Publishers, Dordrecht / Boston / London 1990, 236 pp., Dfl. 139,-. Linos-Alexandre Sicilianos : Les réactions décentralisées à l'illicite. Des contre mesure à la légitime défense. (Bibliothèque de D r o i t International, Tome 102). Librairie Générale de D r o i t et de Jurisprudence, Paris 1990, 532 pp., N o price given. Milton L. Smith : International Regulations of Satellite Communication. Martinus Nijhoff Publishers, Dordrecht / Boston / London 1990, 260 pp., Dfl. 150,-. A. H. A. Soons: International Arbitration: Past and Prospects (A Symposium to Commemorate the Centenary of the Birth of Professor J. H. W Verzijl (1888-1987). Martinus Nijhoff Publishers, Dordrecht / Boston / London 1990, 221 pp., Dfl. 145,-. Ko Swan Sik : Nationality and International Law in Perspective. Martinus Nijhoff Publishers, Dordrecht / Boston / London 1990, 556 pp., Dfl. 275,-. Stephen J. Toope : Mixed International Arbitration. Grotius Publications Limited, Cambridge 1990, 436pp., £58.00. Horst Ungerer / Jauko J. Hauvonen / Augusto Lopez-Claros / Thomas Mayer. The European Monetary System: Developments and Perspectives. International Monetary Fund, Washington, D.C. 1990, V I + 99 pp., US $ 10.00. Stephen C. Vasciannie: Land-locked and Geographically Disadvantaged States in the International Law of the Sea. Clarendon Press, Oxford 1990, 224 pp., £30.00. Karel C. Wellens (ed.): Resolutions and Statements of the U N Security Council (19471989). Martinus N i j h o f f Publishers, Dordrecht / Boston / London 1990, 691pp., Dfl. 350,-. Eric Wyler: La règle dite de la continuité de la nationalité dans le contentieux international. (Publications de l'Institut Universitaire de Hautes Études Internationales). Presses Universitaires de France, Genève 1990, 295 pp., N o price given. Yearbook of the European Convention on Human Rights, Vol. 28 (1985). (Edited by the Council of Europe). Martinus Nijhoff Publishers, Dordrecht / Boston / London 1991, 345 pp., Dfl. 395,-.

40*

List of Contributors jBartram, Berit

Rechtsreferendarin, Hannover, Bundesrepublik Deutschland

Behrens, Sonja

cand. iur., Universität Kiel, Bundesrepublik Deutschland

Bothe y Michael

Prof. Dr. iur., Fachbereich Rechtswissenschaft, Institut für Öffentliches Recht, Johann Wolfgang Goethe-Universität, Frankfurt am Main, Bundesrepublik Deutschland

Bracker,; Peter

Rechtsreferendar, Hamburg, Bundesrepublik Deutschland

Brunner; Georg

Prof. Dr. iur., Institut für Ostrecht der Universität Köln, Bundesrepublik Deutschland

Delbrück, Jost

Prof. Dr. iur., Direktor des Instituts für Internationales Recht an der Universität Kiel, Bundesrepublik Deutschland

Dicke,

Dr. rer. soc. habil., Akademischer Rat am Institut für Internationales Recht an der Universität Kiel, Bundesrepublik Deutschland

Eggers, Angela

cand. iur., Universität Kiel, Bundesrepublik Deutschland

Fan, Jianhong

cand. iur., Universität Kiel, Bundesrepublik Deutschland

Findeklee, Arnim

Dr., Wiss. Mitarb. am Institut für Internationales Recht an der Universität Kiel, Bundesrepublik Deutschland

Fitzmaurice, Malgosia

Dr., Senior Lecturer, Faculty of Law, University of Amsterdam, The Netherlands

Ghébali, Victor-Yves

Prof. Dr., Institut Universitaire de Hautes Etudes Internationales, Geneva, Switzerland

Günther; Konstantin

L L . M . (Pennsylvania), Attorney at Law (New York), Rechtsreferendar, Düsseldorf, Bundesrepublik Deutschland

Hailbronner;

Kay

Prof. Dr., Ordinarius für Öffentliches Recht, Völkerrecht und Europarecht, Juristische Fakultät, Universität Konstanz, Bundesrepublik Deutschland

Härders, J. Enno

Assessor, L L . M . (British Columbia), Wiss. Mitarb. am Instit u t für Internationales Recht an der Universität Kiel, Bundesrepublik Deutschland

Heinz, Ursula

Dr., Wiss. Mitarb. am Institut für Internationales Recht an der Universität Kiel, Bundesrepublik Deutschland

Hillgenberg,

Hartmut

Hintz, Manfred

Dr., Auswärtiges A m t , Bonn, Bundesrepublik Deutschland Assessor, Wiss. Mitarb. am Institut für Luft- und Weltraumrecht der Universität Köln, Bundesrepublik Deutschland

List of Contributors

629

Juretzka , Silke

cand. iur., Universität Kiel, Bundesrepublik Deutschland

Kimminich , Οίίο

Prof. Dr. iur. M . A . (Econ.), Universität Regensburg, Bundesrepublik Deutschland

Krämer; Ludwig

Commission of the European Communities, Directorate General for Environment, Nuclear Safety and Civil Protection, Brussels, Belgium

Kröger; Britta

cand. iur., Universität Kiel, Bundesrepublik Deutschland

Leey Roy S.

Principal Legal Officer, Office of Legal Counsel, Office of Legal Affairs, United Nations Secretariat, Ph. D. (London)

Machowski, J acek

Prof. Warsaw University, Faculty of Law and Administration, Poland

Niewerthy f ohannes

cand. iur., Universität Kiel, Bundesrepublik Deutschland

Pardo-Lopez, D(f>rthe

Rechtsreferendarin, Kiel, Bundesrepublik Deutschland

Partsch, /Gzr//ose/

Dr. iur., em. Professor des öffentlichen Rechts an der Universität Bonn, Bundesrepublik Deutschland

Petersmann, Ernst-Ulrich

Dr., Professor of International Law, European and Swiss Public Law, St. Gallen University; Legal Counsellor in the G A T T Secretariat and to the Uruguay Round Negotiating Group on Dispute Settlement; Geneva, Switzerland

Philipp, Christiane

Dr., Wiss. Mitarb. am Institut für Internationales Recht an der Universität Kiel, Bundesrepublik Deutschland

Rothen, Jan-Henrik

cand. iur., Universität Kiel, Bundesrepublik Deutschland

SchermerSy Henry G.

Prof. Dr., University of Leiden, Faculty of Law, Europa Instit u t , The Netherlands

Schillhorny

cand. iur., Universität Kiel, Bundesrepublik Deutschland

Kerrin

Schmidt-]ortzig,

Edzard

Prof. Dr., Lehrstuhl für Öffentliches Recht, Juristisches Seminar der Universität Kiel, Bundesrepublik Deutschland

Schmitz y Stefan

Wiss. Mitarb. am Institut für Internationales Recht an der Universität Kiel, Bundesrepublik Deutschland

Schreuer, Christoph H.

Prof. Dr., Department of International Law, University of Salzburg, Austria

Schupperty Stefan

Wiss. Mitarb. am Institut für Internationales Recht an der Universität Kiel, Bundesrepublik Deutschland

Seidl-Hohenveldern Smith-BizzarrOy

Tiberg, Hugo

y

Ignaz Prof. Dr. Dr. h.c., Institut für Völkerrecht und Internationale Beziehungen, Vienna, Austria

Denise

Attorney at Law (Washington, D.C.), Wiss. Mitarb. am Instit u t für Internationales Recht an der Universität Kiel, Bundesrepublik Deutschland Prof. Dr., Institute of Maritime Law, University of Stockholm, Sweden

630

List of Contributors

Voitovich, Sergei A.

Associate Professor, University of Kiev, Ukraine

Wiese, Wolfgang

Richter, Hamburg, Bundesrepublik Deutschland

Wismethy Alexander

cand. iur., Universität Kiel, Bundesrepublik Deutschland

Wolfrum

Prof. Dr. iur., Direktor des Instituts für Internationales Recht an der Universität Kiel, Bundesrepublik Deutschland

y

Rüdiger

de 2 ay as, Alfred

J. D . (Harvard), Dr. phil., Attorney at Law (New York/ Florida), Centre for H u m a n Rights, United Nations Office at Geneva, Switzerland