国际商法第一章introduction-to-international-and-comparative-law

InternationalBusinessLawLecturer:谢扬E-mail:yang1112fan@Testing&EvaluatingModeCharacteristicsofthiscourse:amajorcompulsorycourseGreatdailyperformance+goodfinalexaminationscore=HighgradeDailyperformancetakes30%Finalexaminationresulttakes70%dailyperformancecontains:1.Attendancerate—5pointswillbedeductedforeachunreasonableabsence.Lateattendancefor3timesisconsideredasoneabsence.2.Classroomdynamics—expressyourviews3.Fufiltheassignments4.caseanalysis(The70casesinthetextbook)Suggestionsonstudy1.Preparenewlessons2.Takenotescarefullyinclass3.Underlinekeypoints4.Reviewthelessonswehavelearnt5.Raisequestionsorturntotheteacherforhelpwheneveryouareintrouble.Chapter1INTRODUCTIONTOINTERNATIONALANDCOMPARATIVELAWDefiningInternationalLawMakingInternationalLawSourcesofInternationallawScopeofInternationalLawinPracticeInternationalPersonsIndividualRightsUnderInternationalLawComparisonofMunicipalLegalSystemsTopicsforthischapter:WhatisInternationalLaw?Historically,dealtwith3kindsofinternationalrelationship：1.thosebetweenstatesandstates;2.thosebetweenstatesandpersons;3.thosebetweenpersonsandpersons.therulesandnormsregulatingtherelationshipsbetweenstates(countries)ThislawbetweennationsiscalledpublicinternationallawWithgrowthofrelationshipsbetweenpersonsandcorporationsindifferentstates,privateinternationallawdevelopedtogoverntheirconductExamplesofPublicand

PrivateInternationalLawSchoolsofThoughtDefiningTheBasisofInternationalLaw(IL)CosmopolitansarguethatILisbaseduponuniversalhumanrights.PositivistssaythatILisbasedonthesovereignequalityofallstatesandstateconsenttoILthroughtreatiesorcustom.HobbesiansclaimthatstateswillmakeagreementsandabidebyILonlywhenitsuitstheirself-interests.GoodwillandCivility

BetweenStates:ComityRepublicofthePhilippinesv.WestinghouseElec.Corp.

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F3d65(3rdCir,1994)U.S.trialcourtorderedthePhilippinegovernmenttonotharasswitnessesinvolvedinthecase.CourtofAppealsoverturnedtheorder.Heldthatacourtcouldrequestcompliancebyaforeignsovereignasamatterofcomity,butcouldnotordercompliance.Comityrequiresthatwerespectothercountries’sovereigntyandlawsothattheywillrespectours.Case1-1

IgnacioSequihuav.TexacoInc.Comityappliedtoprivatedispute.CourtinTexasdeclinedtoexercisejurisdictionoveractivityandharmthatoccurredinEcuador.TakingjurisdictioninU.S.wouldhaveinterferedwithEcuador’ssovereignrighttocontrolitsownenvironment.Casedismissedunderthedoctrineofcomityofnations.CaseanalysisIgnacioSequihuav.TexacoInc一、当事人：原告：厄瓜多尔被告：美国二、案情简介厄瓜多尔声称美国的行为污染了厄瓜多尔的空气、土地和河流。厄瓜多尔在美国的德克萨斯州地区法院提起诉讼。原告要求被告停止侵害，将受污染的土地恢复原状，并且提供一笔信托基金用于污染防治。该案件被转移至联邦法院，转移程序合法。给予被告提出的要求联邦法院驳回原告，不予受理该案的要求，法院最终援引“礼让”原则解散了这一案件。三、判决结果联邦法院解散了这一案件。四、案件争议焦点德克萨斯州地方法院、联邦法院是否享有该案的管辖权。五、判决理由1.该案件的争议行为和侵害事实都发生在厄瓜多尔。2.原告均居住于厄瓜多尔，但是被告不是居住在德克萨斯，故德克萨斯州地区法院的管辖权有异议。3.对该案的管辖将侵犯厄瓜多尔对于其领土内的环境和资源的控制权，即侵犯其国家主权。4.厄瓜多尔强烈反对德克萨斯州地区法院对于该案的管辖。故该案最终被解散。六、案情分析和结论礼让原则的适用，就是要求一国法院在某些情况下不能行使管辖权，因为这种管辖将侵犯另一国的法律和利益。U.S.CourtsApplyComityandRefusetoTakeJurisdictionWhen:ThedefendantisasovereignstateDefendanthasinsufficientcontactswiththeU.S.AnotherjudicialforumismoreconvenientCongressdidnotintendU.S.statutetoapplyextraterritoriallyCaseconcernsactofsovereignstateonitsownterritoryTheMakingofInternationalLawGenerally,ILcomesintoeffectonlywhenstatesconsenttoit.Generalconsentfoundinstatepractice–theconductandpracticesofstatesintheirdealingswitheachother.Evidenceofgeneralconsent:DecisionsoftheInternationalCourtofJusticeResolutionspassedbytheUNGeneralAssemblyMultilateraltreaties,conclusionsofinternationalconferences,andprovisionsrepeatedoverandoveragaininbilateraltreaties

Theparticularconsentofastate1.declarationsofitsgovernment2.domesticlegislation3.courtdecisions4.treatiesthestatesignedorenteredinto.SourcesofInternationalLawTreatiesorconventionsInternationalcustomGeneralprinciplesoflawrecognizedbycivilizednationsJudicialdecisionsandteachingsofhighlyqualifiedlegalwritersThislist,ascontainedinArticle38(1)oftheStatuteoftheInternationalCourtofJustice,impliesahierarchy,ororder,inwhichthesesourcesaretobereliedon.TreatiesandConventionsEquivalentsoflegislationinILare:Treaties–legallybindingagreementbetweentwoormorestates.Conventions–legallybindingagreementbetweenstatessponsoredbyaninternationalorganization.CustomaryrulesthatgoverntreatiesarecontainedintheViennaConventionontheLawofTreaties,ratifiedby108countries.CustomAsSourceofInternationalLawCustom–along-establishedtraditionorusagethatbecomescustomarylawifitis:Behavioralelement:Consistentandrecurringaction--Consistentlyandregularlyobserved.(Evidenceofthisfoundinofficialstatementsofgovernments,opinionsoflegaladvisors,executivedecrees,orderstomilitaryforces,andcourtdecisions.)Psychologicalelement:Recognizedbythosestatesobservingitasapracticethattheymustobligatorilyfollow.

GeneralPrinciplesofLawandJusCogensCourtswilloftenrelyupongeneralprinciplesoflawthatarecommontothelegalsystemsoftheworldtosolveinternationaldisputes.Juscogensisaperemptorynormofgeneralinternationallaw,recognizedbytheinternationalcommunityasanormfromwhichnoderogationispermitted.Juscogens-statesmustrespectcertainfundamentalprinciples.Treatiesarevoidiftheyconflictwithjuscogens.Ex:Treatybytwonationstouseviolenceagainstathirdnationviolateshigherstandardofjuscogens.

ScopeofInternationalLawinActualPracticeInternationaltribunalsregardmunicipallawassubservienttointernationallaw.Stateshaveobligationtobringtheirmunicipallawintocompliancewithinternationalnorms.Municipalcourtsoftenbalkatthisobligationbaseduponstrongfeelingsofnationalismandbeliefinpriorityforthesovereignstate’sownlaw.PracticeinMunicipalCourtsInmunicipalcourts,internationallawgenerallytreatedascorrelative.Iftheinternationallawisbasedoncustomarypractice,itisreceivedinaccordancewiththedoctrineofincorporation.CustomaryILispartofdomesticlawtotheextentthatitisnotinconsistentwithpriormunicipallegislationorjudicialdecisionoffinalauthority.Minorityofcourts-doctrineoftransformationCustomaryILisapplicabledomesticallyonlyafteradoptedbylegislation,courtdecision,orlocalusage.

MunicipalCourtReceptionRulesFoundinTreaties–TwoFactorsNatureofthetreaty:Self-executing–containsaprovisionstatingthatthetreatywillapplytothepartieswithouthavingtoadoptdomesticenablinglegislation.Non-Self-Executing–requiresenablinglegislationbeforeeffectivedomestically.Constitutionalstructureoftheratifyingstate:InU.S.,PresidentnegotiatesconstitutionaltreatiesthatarethenratifiedbytheSenate.

Executiveagreements-treatiesenteredintobythePresident,notratified,noteffectivedomestically.InternationalPersonsStatesIndependentstatesDependentstatesInchoatestatesInternationalOrganizationsIntergovernmentalorganizations(IGO)Nongovernmentalorganizations(NGO)InternationalPersons-StatesState-politicalentitycomprisingaterritory,apopulation,agovernmentcapableofenteringintointernationalrelations,andagovernmentcapableofcontrollingitsterritoryandpeoples.Anindependentstateissovereignandoperatesindependentlyinternationally.Adependentstate(PuertoRico)hasformallysurrenderedsomeaspectoftheirpoliticalandgovernmentalfunctionstoanotherstate.Aninchoatestatelackssomeattributesofindependentstate,suchasterritoryorpopulation.RecognitionRecognizedbyotherstatesistheadmittancetoenterintotheinternationalcommunity.It’saunilateraldeclarationwhichiseitherexplicitorimplicit.Therecognitionofagovernmentisdifferentfromtherecognitionofastate.

twotheoriesasguidelinesforagovernmenttoberecognized:Declaratorydoctrine:thelegalexistenceofagovernmenthappensautomaticallywheneveritcancontrolitsterritoryandpeople.Constitutivedoctrine:thegovernmentdoesnottrulycomeintoexistenceuntilotherstatesrecognizedit.EstradaDoctrine:Estrada’sobjectivewasforMexicotoremainneutralinforeigncontroversiesbyrejectingtheusualpracticeofrecognizingforeigngovernments.TerritorialSovereigntyAfterTheRiodeJaneiroConference-1992Modernly,stateshaveadoptednegativeservitudeasformalpartofinternationallaw.Howdoesastateacquireterritory?1.occupationoflandnotclaimedbyanysovereigns2.voluntarytransferofterritoryfromonesovereigntoanother3.conquestandcontinuedoccupationoftheterritoryofanothersovereign.Onceterritoryisacquired,astate’stitleisaffirmedeitherbytheformalrecognitionofotherstatesoraprocessofestoppel.ChangesinTerritorialSovereigntyWithachangeinsovereigntyoverterritory,severallegalconsequencesariseandweapplythefollowingrules:Successorstatesareboundbydispositivetreaties–treatiesconcernedwithrightsoverterritory(boundaries&servitudes.)MergerRule–treatiesineffectinaformerstateremainineffectinitsterritorywhenitbecomespartofanewstate.Ex:TreatiesofbothEgyptandSyriaremainedineffectwhentheymergedintotheUnitedArabRepublicMovingBoundariesRule–treatiesofstateabsorbingnewterritorybecomeeffectivewithinabsorbedterritory.ChangesinTerritorialSovereignty(continued)Ex:France’streatiesdisplacedGermantreatiesinannexedterritoryofAlsace-LorraineatendofWWI.CleanSlateDoctrine–newstatecreatedfromcolonynotboundbytreatiesofitsformercolonialpower.SuccessionofStates–whentwostatesagreetojoinandformsinglestateorwhenastatedissolvesintotwoormorestates,thenewstatesareboundbythepredecessor’streaties.Ex:WhentheSovietUnionsplitin1991,the12republicswereboundbytheexistingtreatiesoftheSovietUnion.InternationalPersons

-InternationalOrganizationsAccordingtotheUnitedNationsCharter,therearetwokindsofinternationalorganizations:Publicorintergovernmentalorganizations(IGO)Privateornongovernmentalorganizations(NGO)IGOisapermanentorganizationsetupbytwoormorestatestocarryonactivitiesofcommoninterest.NGOisaninternationalorganizationmadeupoforganizationsotherthanstates.MaybenonprofitNGOorfor-profitmultinationalenterprise(MNE).

InternationalPersons

-IGOsIGOcharter(Ex:UNCharter)setsoutitsAimsObjectivesInternalstructureResourcesExpresspowersIGOmustberecognizedtohavelegalcapacity–thequalificationorauthoritytodealwithotherinternationalpersonsInternationalPersons

-IGOs

-TheUnitedNationsMostimportantIGOItscharterisamultilateraltreatyOperatesthoughitsorgans-anagencythatcarriesonspecificfunctionswithinalargerorganizations.UNorgansaretheGeneralAssembly,theSecurityCouncil,theInternationalcourtofJustice,theTrusteeshipCouncil,andtheEconomicandSocialCouncil.UnitedNationsSystemNamegiventovariousautonomousorganizations(alsoIGOs)thathaveenteredintoagreementswiththeUNtobeUNagencies.InternationalPersons

-IGOs

-TheEuropeanUnionTheEuropeanUnionisa25-memberIGOcreatedbythefoundingstatesinordertointegratetheireconomiesandpoliticalinstitutions.TheEuropeanTreatyin1992establisheda:politicalunioncommoncitizenshipfornationalsofmemberstatesSocialChartermonetaryunionCentralBank,andcommoncurrency(theeuro).

EUPowersEUhassupranationalpowers.SupranationalpowersarepowerssurrenderedbymemberstatestoanIGO.EUlawissuperiortothelawsofmemberstates.Thismeans:ThememberstatesarerequiredtobringtheirinternallawsintocompliancewithEUlaw,andEx:Commissionv.BelgiumheldthatBelgiummustchangeitslawstopreventdiscriminationagainstlumberproducedinotherstatesTheEUlawisdirectlyeffectivewithinmemberstates

Ex:Costav.ENELheldthatindividualisentitledtoinvoketheEUTreatyinthecourtsofEUmemberstates.Case1-5

CommissionoftheEuropeanCommunitiesv.Fed.Rep.ofGermanyGermanyprohibitedtheimportationandmarketingofmeatproductsfromothermemberstatesthatdidnotcomplywithitsMeatRegulationlaw.NationalrulesrestrictingimportsarecompatiblewiththeEECTreatyonlyasnecessaryfortheeffectiveprotectionofhumanlifeandhealthandemploytheleastrestrictivemeanstoaccomplishthis.Theimportedmeatwasnotinjurioustohealth.Held:GermanymustconformtoEUlawandtheprincipleoffreemovementofgoodsbetweenmemberstates.InstitutionsoftheEU

-TheEuropeanCommissionThemaininstitutionsoftheEUarethe:EuropeanCommission–EU’sexecutivebranchwithsomelegislativefunctioncomprised27individualsappointedbyParliament.Dutiesareto:EnsurethatEUrulesarerespectedProposemeasurestotheEuropeanCouncilImplementEUpoliciesManagethefundsthatmakeuptheEUbudgetSeehttp://ec.europa.eu/index_en.htm

InstitutionsoftheEU

-CounciloftheEuropeanUnionMaindecision-makingbodyoftheEU.Exercisesco-decisionswithParliament.Roleisto:Adoptlegislation(withParliament)Adoptannualbudget(withParliament)AdoptinternationalagreementsCoordinatetheeconomicpoliciesofthememberstatesSeehttp://www.consilium.europa.eu

InstitutionsoftheEU

-EuropeanParliamentCo-legislativebodyandmainsupervisoryinstitutionoftheEU.786memberselectedeveryfiveyears.Arrangedbypoliticalparties,notbynationality.Threemainroles:OversightauthorityoverallEUinstitutionsShareslegislativepowerwithCounciloftheEUDeterminestheEU’sannualbudgetwithCounciloftheEUInstitutionsoftheEU

-EuropeanCourtofJusticeIsthesupremetribunaloftheEU.Comprisedof27judgesand8advocates-general.Advocategeneralbriefscasesforjudgesandsuggesthowcasesshouldbedecided.Sitsinchambersofthreetofivejudgesorinplenarysession.Hearsfourkindsofcases:appealsfromtheCourtofFirstInstancecomplaintsbroughtbythecommissionorbyonememberagainstanothermembercomplaintsbroughtbymemberagainstEUinstitutioncomplaintstoannulEUlegalmeasuresInternationalPersons

-otherIGOsGeneralIGOsthataredevotedtopoliticalcooperation,security,&promotionofeconomic,social,andculturaldevelopmentinclude:CouncilofEurope,AfricanUnion,ArabLeague,OrganizationofAmericanStates,CommonwealthofIndependentStates(formerrepublicsoftheSovietUnion).SpecializedIGOsdealwithissuesofmutualinterestsuchasEuropeanSpaceAgencyandInternationalCriminalPoliceAgency(INTERPOL).FreeTradeAreasarecooperativeeconomicIGOs.TheseincludetheNorthAmericanFTA(NAFTA).InternationalPersons

-NongovernmentalOrganizations(NGOs)NonprofitNGOsserveascoordinatingagenciesforprivatenationalgroups.IncludeInternationalBarAssoc.,AmnestyInternational,andtheInternationalCommitteeoftheRedCross.For-profitNGOs,knownastransnationalcorporationsormultinationalenterprises(MNEs),arebusinessesoperatingjointventuresinmultiplecountries.Thesejointventuresbystateshaveincludedspaceandoilexploration.

RightsofIndividualsUnderInternationalLawIndividualshavenodirectrightsundertraditionalviewofIL.Stateallowedtoseekcompensationforinjurytoitsnationalsunderthelawofstateresponsibility.Individualmayassertclaimforviolationofbasichumanrightsintendedtoprotectallpeoplefromcruelandinhumantreatment,threatstotheirlives,and