国际商法第五版第一章PPT——ray·august著

1-1,Chapter1,INTRODUCTIONTOINTERNATIONALANDCOMPARATIVELAW,1-2,CHAPTER1INTRODUCTIONTOINTERNATIONALANDCOMPARATIVELAW,Topicsforthischapter:DefiningInternationalLawMakingInternationalLawSourcesofInternationallawScopeofInternationalLawinPracticeInternationalPersonsIndividualRightsUnderInternationalLawComparisonofMunicipalLegalSystems,1-3,WhatisInternationalLaw?,Historically,dealtwiththerulesandnormsregulatingtherelationshipsbetweenstates(countries)ThislawbetweennationsiscalledpublicinternationallawWithgrowthofrelationshipsbetweenpersonsandcorporationsindifferentstates,privateinternationallawdevelopedtogoverntheirconduct,1-4,SchoolsofThoughtDefiningTheBasisofInternationalLaw(IL),CosmopolitansarguethatILisbaseduponuniversalhumanrights.PositivistssaythatILisbasedonthesovereignequalityofallstatesandstateconsenttoILthroughtreatiesorcustom.HobbesiansclaimthatstateswillmakeagreementsandabidebyILonlywhenitsuitstheirself-interests.,1-5,ExamplesofPublicandPrivateInternationalLaw,1-6,GoodwillandCivilityBetweenStates:Comity,RepublicofthePhilippinesv.WestinghouseElec.Corp.43F3d65(3rdCir,1994)U.S.trialcourtorderedthePhilippinegovernmenttonotharasswitnessesinvolvedinthecase.CourtofAppealsoverturnedtheorder.Heldthatacourtcouldrequestcompliancebyaforeignsovereignasamatterofcomity,butcouldnotordercompliance.Comityrequiresthatwerespectothercountriessovereigntyandlawsothattheywillrespectours.,1-7,Case1-1IgnacioSequihuav.TexacoInc.,Comityappliedtoprivatedispute.CourtinTexasdeclinedtoexercisejurisdictionoveractivityandharmthatoccurredinEcuador.TakingjurisdictioninU.S.wouldhaveinterferedwithEcuadorssovereignrighttocontrolitsownenvironment.Casedismissedunderthedoctrineofcomityofnations.,1-8,U.S.CourtsApplyComityandRefusetoTakeJurisdictionWhen:,ThedefendantisasovereignstateDefendanthasinsufficientcontactswiththeU.S.AnotherjudicialforumismoreconvenientCongressdidnotintendU.S.statutetoapplyextraterritoriallyCaseconcernsactofsovereignstateonitsownterritory,1-9,TheMakingofInternationalLaw,Generally,ILcomesintoeffectonlywhenstatesconsenttoit.Generalconsentfoundinstatepracticetheconductandpracticesofstatesintheirdealingswitheachother.Evidenceofgeneralconsent:DecisionsoftheInternationalCourtofJusticeResolutionspassedbytheUNGeneralAssemblyMultilateraltreaties,conclusionsofinternationalconferences,andprovisionsrepeatedoverandoveragaininbilateraltreaties,1-10,SourcesofInternationalLaw,TreatiesorconventionsInternationalcustomGeneralprinciplesoflawrecognizedbycivilizednationsJudicialdecisionsandteachingsofhighlyqualifiedlegalwriters,Thislist,ascontainedinArticle38(1)oftheStatuteoftheInternationalCourtofJustice,impliesahierarchy,ororder,inwhichthesesourcesaretobereliedon.,1-11,TreatiesandConventions,EquivalentsoflegislationinILare:Treatieslegallybindingagreementbetweentwoormorestates.Conventionslegallybindingagreementbetweenstatessponsoredbyaninternationalorganization.CustomaryrulesthatgoverntreatiesarecontainedintheViennaConventionontheLawofTreaties,ratifiedby108countries.,1-12,CustomAsSourceofInternationalLaw,Customalong-establishedtraditionorusagethatbecomescustomarylawifitis:Consistentlyandregularlyobserved,and(Evidenceofthisfoundinofficialstatementsofgovernments,opinionsoflegaladvisors,executivedecrees,orderstomilitaryforces,andcourtdecisions.)Recognizedbythosestatesobservingitasapracticethattheymustobligatorilyfollow.,1-13,GeneralPrinciplesofLawandJusCogens,Courtswilloftenrelyupongeneralprinciplesoflawthatarecommontothelegalsystemsoftheworldtosolveinternationaldisputes.Juscogensisaperemptorynormofgeneralinternationallaw,recognizedbytheinternationalcommunityasanormfromwhichnoderogationispermitted.Juscogens-statesmustrespectcertainfundamentalprinciples.Treatiesarevoidiftheyconflictwithjuscogens.Ex:Treatybytwonationstouseviolenceagainstathirdnationviolateshigherstandardofjuscogens.,1-14,ScopeofInternationalLawinActualPractice,Internationaltribunalsregardmunicipallawassubservienttointernationallaw.Stateshaveobligationtobringtheirmunicipallawintocompliancewithinternationalnorms.Municipalcourtsoftenbalkatthisobligationbaseduponstrongfeelingsofnationalismandbeliefinpriorityforthesovereignstatesownlaw.,1-15,PracticeinMunicipalCourts,Inmunicipalcourts,internationallawgenerallytreatedascorrelative.Iftheinternationallawisbasedoncustomarypractice,itisreceivedinaccordancewiththedoctrineofincorporation.CustomaryILispartofdomesticlawtotheextentthatitisnotinconsistent.Minorityofcourts-doctrineoftransformationCustomaryILisapplicabledomesticallyonlyafteradoptedbylegislation,courtdecision,orlocalusage.,1-16,MunicipalCourtReceptionRulesFoundinTreatiesTwoFactors,Natureofthetreaty:Self-executingcontainsaprovisionstatingthatthetreatywillapplytothepartieswithouthavingtoadoptdomesticenablinglegislation.Non-Self-Executingrequiresenablinglegislationbeforeeffectivedomestically.Constitutionalstructureoftheratifyingstate:InU.S.,PresidentnegotiatesconstitutionaltreatiesthatarethenratifiedbytheSenate.Executiveagreements-treatiesenteredintobythePresident,notratified,noteffectivedomestically.,1-17,Case1-2SeiFujiiv.State,ExamineswhetherprovisionsofUNCharterpromotingfundamentalfreedomswithoutdistinctionastoraceareself-executingornot.CaliforniaappellatecourtruledthatlandpurchasedbyFujii,aJapanesealien,violatedalienlandlawandescheatedtostate.CASupremeCourtaffirmedthatUNCharterwasnotself-executingbecauselanguagewasnotmandatoryandrequiredadditionalimplementinglegislation.However,lawviolated14thAmend.,Fujiismoneyreturned.,1-18,InternationalPersons,StatesIndependentstatesDependentstatesInchoatestatesInternationalOrganizationsIntergovernmentalorganizations(IGO)Nongovernmentalorganizations(NGO),1-19,InternationalPersons-States,State-politicalentitycomprisingaterritory,apopulation,agovernmentcapableofenteringintointernationalrelations,andagovernmentcapableofcontrollingitsterritoryandpeoples.Anindependentstateissovereignandoperatesindependentlyinternationally.Adependentstate(PuertoRico)hasformallysurrenderedsomeaspectoftheirpoliticalandgovernmentalfunctionstoanotherstate.Aninchoatestatelacksattributesofindependentstate,suchasterritoryorpopulation.,1-20,Case1-3MatimakTradingCo.v.KhalilyandD.A.Y.KidsSportswearInc.,Matimak,aHongKongcorporation,suedinfederalcourtinNYunderdiversityjurisdictionasacitizenofforeignstate.Thoughnotformallyrecognizedbyexecutivebranch,MatimakargueddefactorecognitionofHongKong.Ruling:HongKongnotanindependentstate.MatimaknotacitizenorsubjectofUnitedKingdomoranyforeignstate.Suitdismissedforlackofjurisdiction.,1-21,Case1-4TheTrailSmelterArbitration,Statewithterritorialsovereigntystillsubjecttonegativeservitudes,preventingitfromcausinginjurytoasecondstate.SmeltingplantinCanadawaspollutingairandwaterinStateofWashington.“Astateowesatalltimesadutytoprotectotherstatesagainstinjuriousactsbyindividualsfromwithinitsjurisdiction.”,1-22,TerritorialSovereigntyAfterTheRiodeJaneiroConference-1992,Modernly,stateshaveadoptednegativeservitudeasformalpartofinternationallaw.,1-23,ChangesinTerritorialSovereignty,Withachangeinsovereigntyoverterritory,severallegalconsequencesariseandweapplythefollowingrules:Successorstatesareboundbydispositivetreatiestreatiesconcernedwithrightsoverterritory(boundaries&servitudes.)MergerRuletreatiesineffectinaformerstateremainineffectinitsterritorywhenitbecomespartofanewstate.Ex:TreatiesofbothEgyptandSyriaremainedineffectwhentheymergedintotheUnitedArabRepublicMovingBoundariesRuletreatiesofstateabsorbingnewterritorybecomeeffectivewithinabsorbedterritory.,1-24,ChangesinTerritorialSovereignty(continued),Ex:FrancestreatiesdisplacedGermantreatiesinannexedterritoryofAlsace-LorraineatendofWWI.CleanSlateDoctrinenewstatecreatedfromcolonynotboundbytreatiesofitsformercolonialpower.SuccessionofStateswhentwostatesagreetojoinandformsinglestateorwhenastatedissolvesintotwoormorestates,thenewstatesareboundbythepredecessorstreaties.Ex:WhentheSovietUnionsplitin1991,the12republicswereboundbytheexistingtreatiesoftheSovietUnion.,1-25,InternationalPersons-InternationalOrganizations,AccordingtotheUnitedNationsCharter,therearetwokindsofinternationalorganizations:Intergovernmentalorganizations(IGO)Privateornongovernmentalorganizations(NGO)IGOisapermanentorganizationsetupbytwoormorestatestocarryonactivitiesofcommoninterest.NGOisaninternationalorganizationmadeupoforganizationsotherthanstates.MaybenonprofitNGOorfor-profitmultinationalenterprise(MNE).,1-26,InternationalPersons-IGOs,IGOcharter(Ex:UNCharter)setsoutitsAimsObjectivesInternalstructureResourcesExpresspowersIGOmustberecognizedtohavelegalcapacitythequalificationorauthoritytodealwithotherinternationalpersons,1-27,InternationalPersons-IGOs-TheUnitedNations,MostimportantIGOItscharterisamultilateraltreatyOperatesthoughitsorgans-anagencythatcarriesonspecificfunctionswithinalargerorganizations.UNorgansaretheGeneralAssembly,theSecurityCouncil,theInternationalcourtofJustice,theTrusteeshipCouncil,andtheEconomicandSocialCouncil.,1-28,UnitedNationsSystem,Namegiventovariousautonomousorganizations(alsoIGOs)thathaveenteredintoagreementswiththeUNtobeUNagencies.,1-29,InternationalPersons-IGOs-TheEuropeanUnion,TheEuropeanUnionisa25-memberIGOcreatedbythefoundingstatesinordertointegratetheireconomiesandpoliticalinstitutions.TheEuropeanTreatyin1992establisheda:politicalunioncommoncitizenshipfornationalsofmemberstatesSocialChartermonetaryunionCentralBank,andcommoncurrency(theeuro).,1-30,EUPowers,EUhassupranationalpowers.SupranationalpowersarepowerssurrenderedbymemberstatestoanIGO.EUlawissuperiortothelawsofmemberstates.Thismeans:ThememberstatesarerequiredtobringtheirinternallawsintocompliancewithEUlaw,andEx:Commissionv.BelgiumheldthatBelgiummustchangeitslawstopreventdiscriminationagainstlumberproducedinotherstatesTheEUlawisdirectlyeffectivewithinmemberstatesEx:Costav.ENELheldthatindividualisentitledtoinvoketheEUTreatyinthecourtsofEUmemberstates.,1-31,Case1-5CommissionoftheEuropeanCommunitiesv.Fed.Rep.ofGermany,GermanyprohibitedtheimportationandmarketingofmeatproductsfromothermemberstatesthatdidnotcomplywithitsMeatRegulationlaw.NationalrulesrestrictingimportsarecompatiblewiththeEECTreatyonlyasnecessaryfortheeffectiveprotectionofhumanlifeandhealthandemploytheleastrestrictivemeanstoaccomplishthis.Theimportedmeatwasnotinjurioustohealth.Held:GermanymustconformtoEUlawandtheprincipleoffreemovementofgoodsbetweenmemberstates.,1-32,InstitutionsoftheEU-TheEuropeanCommission,ThemaininstitutionsoftheEUarethe:EuropeanCommissionEUsexecutivebranchwithsomelegislativefunctioncomprised27individualsappointedbyParliament.Dutiesareto:EnsurethatEUrulesarerespectedProposemeasurestotheEuropeanCouncilImplementEUpoliciesManagethefundsthatmakeuptheEUbudgetSeehttp:/ec.europa.eu/index_en.htm,1-33,InstitutionsoftheEU-CounciloftheEuropeanUnion,Maindecision-makingbodyoftheEU.Exercisesco-decisionswithParliament.Roleisto:Adoptlegislation(withParliament)Adoptannualbudget(withParliament)AdoptinternationalagreementsCoordinatetheeconomicpoliciesofthememberstatesSeehttp:/www.consilium.europa.eu,1-34,InstitutionsoftheEU-EuropeanParliament,Co-legislativebodyandmainsupervisoryinstitutionoftheEU.786memberselectedeveryfiveyears.Arrangedbypoliticalparties,notbynationality.Threemainroles:OversightauthorityoverallEUinstitutionsShareslegislativepowerwithCounciloftheEUDeterminestheEUsannualbudgetwithCouncil,1-35,InstitutionsoftheEU-EuropeanCourtofJustice,IsthesupremetribunaloftheEU.Comprisedof27judgesand8advocatesgeneral.Advocategeneralbriefscaseforjudgesandsuggesthowcaseshouldbedecided.Sitsinchambersofthreetofivejudges.Hearsfourkindsofcases:appealsfromtheCourtofFirstInstancecomplaintsbroughtbythecommissionorbyonememberagainstanothermembercomplaintsbroughtbymemberagainstEUinstitutioncomplaintstoannulEUlegalmeasure,1-36,InternationalPersons-otherIGOs,GeneralIGOsthataredevotedtopoliticalcooperation,security,&promotionofeconomic,social,andculturaldevelopmentinclude:CouncilofEurope,AfricanUnion,ArabLeague,OrganizationofAmericanStates,CommonwealthofIndependentStates(formerrepublicsoftheSovietUnion).SpecializedIGOsdealwithissuesofmutualinterestsuchasEuropeanSpaceAgencyandInternationalCriminalPoliceAgency(INTERPOL).FreeTradeAreasarecooperativeeconomicIGOs.TheseincludetheNorthAmericanFTA(NAFTA).,1-37,InternationalPersons-NongovernmentalOrganizations(NGOs),NonprofitNGOsserveascoordinatingagenciesforprivatenationalgroups.IncludeInternationalBarAssoc.,AmnestyInternational,andtheInternationalCommitteeoftheRedCross.For-profitNGOs,knownastransnationalcorporationsormultinationalenterprises(MNEs),arebusinessesoperatingjointventuresinmultiplecountries.Thesejointventuresbystateshaveincludedspaceandoilexploration.,1-38,RightsofIndividualsUnderInternationalLaw,IndividualshavenodirectrightsundertraditionalviewofIL.Stateallowedtoseekcompensationforinjurytoitsnationalsunderthelawofstateresponsibility.Individualmayassertclaimforviolationofbasichumanrightsintendedtoprotectallpeoplefromcruelandinhumantreatment,threatstotheirlives,andpersecution.,1-39,Case1-6DeSanchezv.BancoCentralDeNicaragua,IndividualsuedBancoCentralinU.S.courtforbreachofcontractfornothonoringacheck.Held:Anindividualwhoisanationalofaforeignstatemaynotsueanagencyofthatforeignstateinanotherstatescourtsforbreachofcontract.,1-40,ComparisonofMunicipalLegalSystems,Studyofdifferentmunicipallawsystemsisknownascomparativelaw.Threemajorlegalsystemtypesare:Romano-GermaniccivillawAnglo-AmericancommonlawIslamiclaw,1-41,Romano-GermanicCivilLaw,Civillawsetoutinnationallawcodes.Civillawdealsonlywithrightsofprivatecitizensasopposedtopubliclawthatdealswithconstitutionalandadministrativeissues.Guidancefordecisionscomesonlyfromthe