cambridge university press 978-0-521-86097-0 - modern treaty...

30
A new edition of a book first published in 2000. Written from the viewpoint of an experienced practitioner, it provides a comprehen- sive account of the law of treaties. As such, it is the first, and only, book of its kind. Aust provides a wealth of examples of the problems experienced with treaties on a daily basis, not just when they are the subject of a court case. The numerous precedents from treaties and other treaty-related documents are invaluable for the practitioner. The book aims to supply the reader with a full understanding of treaties. Technical language is avoided as far as possible, making the book accessible to non-lawyers. Although not primarily an acade- mic work, there is still plenty to interest and inform students and academics, including those specialising in political science, interna- tional relations or diplomacy. anthony aust is a former Deputy Legal Adviser of the Foreign and Commonwealth Office, London. He is now a visiting professor at the London School of Economics and other academic institu- tions; a consultant on international and constitutional law to gov- ernments and international organisations, and with the London solicitors, Kendall Freeman. © Cambridge University Press www.cambridge.org Cambridge University Press 978-0-521-86097-0 - Modern Treaty Law and Practice, Second Edition Anthony Aust Frontmatter More information

Upload: others

Post on 04-Jul-2020

0 views

Category:

Documents


0 download

TRANSCRIPT

Page 1: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

A new edition of a book first published in 2000. Written from the

viewpoint of an experienced practitioner, it provides a comprehen-

sive account of the law of treaties. As such, it is the first, and only,

book of its kind. Aust provides a wealth of examples of the problems

experienced with treaties on a daily basis, not just when they are the

subject of a court case. The numerous precedents from treaties and

other treaty-related documents are invaluable for the practitioner.

The book aims to supply the reader with a full understanding of

treaties. Technical language is avoided as far as possible, making the

book accessible to non-lawyers. Although not primarily an acade-

mic work, there is still plenty to interest and inform students and

academics, including those specialising in political science, interna-

tional relations or diplomacy.

anthony aust is a former Deputy Legal Adviser of the Foreign

and Commonwealth Office, London. He is now a visiting professor

at the London School of Economics and other academic institu-

tions; a consultant on international and constitutional law to gov-

ernments and international organisations, and with the London

solicitors, Kendall Freeman.

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information

Page 2: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

MODERN TREATY LAW

AND PRACTICE

S E C O N D E D I T I O N

A N T H O N Y AU S T

London School of Economics; Kendall Freeman, London; formerly DeputyLegal Adviser, Foreign and Commonwealth, London

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information

Page 3: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

cambrid ge universit y press

Cambridge, New York, Melbourne, Madrid, Cape Town, Singapore, São Paulo, Delhi

Cambridge University PressThe Edinburgh Building, Cambridge CB2 8RU, UK

Published in the United States of America by Cambridge University Press, New York

www.cambridge.orgInformation on this title: www.cambridge.org/9780521678063

© Anthony Aust 2007

This publication is in copyright. Subject to statutory exceptionand to the provisions of relevant collective licensing agreements,

no reproduction of any part may take place withoutthe written permission of Cambridge University Press.

First edition published by Cambridge University Press 2000Reprinted five times

Second edition published by Cambridge University Press 2007

Printed in the United Kingdom at the University Press, Cambridge

A catalogue record for this publication is available from the British Library

ISBN 978-0-521-86097-0 hardbackISBN 978-0-521-67806-3 paperback

Cambridge University Press has no responsibility for the persistence oraccuracy of URLs for external or third-party internet websites referred to

in this book, and does not guarantee that any content on suchwebsites is, or will remain, accurate or appropriate.

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information

Page 4: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

For Kirsten

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information

Page 5: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

CONTENTS

Foreword to the first edition by Sir Arthur Watts xxiiiPreface to the second edition xxviArticles of the Convention cited in the text xxviiiTable of treaties xxxiiTable of MOUs xlviiiTable of cases lGlossary of legal terms lvList of abbreviations lix

Introduction 1How to use this book 4

The footnotes and references 4

Emphasis 5

Errors, omissions, comments and material 5

1 Vienna Convention on the Law of Treaties 1969 6Flexibility of the Convention 7

Scope of the Convention 8

Treaties with or between other subjects of international

law 8

International organisations 8

Oral agreements 9

No retrospective effect 9

State succession, state responsibility and the outbreak

of hostilities 10

Bilateral and multilateral treaties 10

The Convention and customary international law 11

To what extent does the Convention express rules

of customary international law? 12

vii

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information

Page 6: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

Effect of emerging customary law on prior treaty rights

and obligations 13

Reference material on the Convention 14

2 What is a treaty? 16Definition of ‘treaty’ 17

‘an international agreement’ 17

‘concluded between states’ 18

‘in written form’ 19

‘governed by international law’ 20

‘whether embodied in a single instrument or in two or

more related instruments’ 22

‘whatever its particular designation’ 23

A treaty does not have to be signed 24

Memorandum of Understanding 25

Exchange of notes 27

Protocol 27

Optional Protocol 28

Less usual treaty names 28

Colloquial names 29

Treaties between states governed by, or referring to,

domestic law 30

Pactum de contrahendo 31

Modus vivendi 31

3 MOUs 32Evidence of intention to conclude (or not conclude) a treaty 33

Content 34

Express provisions as to status 34

Circumstances in which the instrument was concluded 35

Registration and non-registration 36

Disagreement as to status 37

The practice of states 38

Commonwealth states 38

European Union states 38

The United States 39

How and why MOUs are used rather than treaties 42

viii contents

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information

Page 7: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

Confidentiality 43

Lack of formality 45

Amendment 45

Termination 46

Dispute settlement 46

Interpretation 47

Agreements with non-states 47

Dangers in using MOUs 47

Respect for MOUs may be seen as less important than for

treaties 47

Possible lack of care in drafting 48

Lack of implementing legislation 48

Difficulty in finding MOUs 49

Are MOUs really treaties? 49

Are MOUs ‘soft law’? 52

The possible legal consequences of MOUs 53

Estoppel 54

MOUs in domestic courts 55

4 Capacity to conclude treaties 58Odd cases 59

The Cook Islands and Niue 59

Vatican City/Holy See 60

Taiwan 61

Palestine 61

TRNC 62

Western Sahara 63

Federations (and analogous entities) 63

Belgium 65

Scotland and Northern Ireland 66

Bosnia and Herzegovina, Republika Srpska and the

Federal Republic of Yugoslavia 67

Hong Kong and Macau Special Administrative Regions 67

Overseas territories 71

Agreements with the parent state or between

its overseas territories 74

contents ix

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information

Page 8: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

5 Full powers 75Credentials 76

Meaning of full powers 76

General rule 77

Bilateral treaties 77

Multilateral treaties 78

When full powers are never required 78

General full powers 79

Procedure 80

Sending full powers by telegram, fax or e-mail 82

Proxy signature 82

Invalid acts 83

6 Adoption and authentication 84Adoption 84

Bilateral treaties 85

Treaties adopted at international conferences 85

Consensus 86

Authentication 89

Bilateral treaties 89

Multilateral treaties 89

Treaties adopted within an international organisation 90

Final Act 91

When is a treaty ‘concluded’? 92

7 Consent to be bound 94Participation in a treaty 94

Signature 96

‘Open for signature’ 98

Signature ad referendum 98

Place of signature 98

Doubt about signature 100

Initialling 100

The Dayton Agreement 101

Witnessing 101

Exchange of instruments constituting a treaty 102

Ratification 103

x contents

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information

Page 9: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

Exchange or deposit of instruments of ratification 105

Conditional ratification? 106

No obligation to ratify 106

Period for ratification 106

Ratification of part of a treaty 107

Instrument of ratification 107

Who can sign it? 107

Form and content of an instrument of ratification 108

Place of deposit of instruments 109

Acknowledgment and date of deposit 109

Acceptance or approval 109

Provisional or definitive application 110

Accession 110

Preconditions for accession 111

Any other agreed means 113

‘Signatory’, ‘party’, ‘signed-up to’ and ‘adherence’ 114

The ‘all states’ and ‘Vienna’ formulas 115

Rights and obligations prior to entry into force 116

Obligation not to defeat the object and purpose of a

treaty prior to its entry into force (Article 18) 117

Withdrawal of consent to be bound before entry

into force 119

Withdrawal and re-ratification? 121

Unratified treaties 121

Development of treaties 121

Framework treaties 122

Measures 122

International tribunals 124

8 Reservations 125Interpretative declarations 126

Political declarations 129

Disguised reservations 129

Reservations 131

Bilateral treaties 131

Multilateral treaties 132

Reservations generally not prohibited 133

contents xi

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information

Page 10: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

Exception (a): the reservation is prohibited by the

treaty 134

Exception (b): the treaty provides that only specified

reservations may be made 135

Exceptions (a) and (b) do not apply, and the reservation

is incompatible with the object and purpose of the treaty

(compatibility test) 136

Acceptance of, and objection to, reservations 138

Plurilateral treaties 139

Constituent instrument of an international

organisation 139

All other cases 140

The law before the Convention 140

The rules of the Convention 141

The legal effect of reservations and objections to

reservations 143

Some unresolved issues 144

Reservations to human rights treaties 146

Treaty-monitoring bodies 150

Some ways of minimising the problem of reservations 151

Procedure 153

Reservations 154

Objections to reservations 155

Withdrawal of reservations and of objections to

reservations 156

Functions of the depositary in relation to reservations 156

Treaties with provisions on reservations 157

Treaties silent as to reservations 158

Late reservations 158

Can a reservation be made on ‘re-accession’? 159

The International Law Commission study 160

9 Entry into force 162Express provisions 163

No provision or agreement on entry into force 168

Date of entry into force 168

Ratification after the treaty has entered into force 169

Who determines the date of entry into force? 170

xii contents

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information

Page 11: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

Time of entry into force 170

Date from which the treaty speaks 171

Effect of withdrawal of an instrument or extinction of

a state 171

Reservations attached to instruments 172

Provisional application 172

Preparatory commissions 175

Retroactive effect of a treaty 176

Revival of a treaty 177

10 Treaties and domestic law 178Duty to perform treaties 179

Constitutional provisions 181

Monism 183

France 183

Germany 184

The Netherlands 185

Poland 185

Russia 185

Switzerland 186

Dualism 187

UK constitutional practice 189

Scotland and Northern Ireland 192

Interpretation and application of treaties by UK

courts 193

EU law and the United Kingdom 194

Other dualist states 194

Is one approach better? 195

The United States 196

Treaties as the law of the land 197

Hierarchy of norms 198

Interpretation of treaties by US courts 198

Implementation by states of the United States 199

11 Territorial application 200Territorial extension clauses 202

Bilateral treaties 202

contents xiii

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information

Page 12: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

Multilateral treaties 202

Transfer of an overseas territory 205

Declaration on signature or ratification 205

UK practice 206

Application of a treaty to an overseas territory alone 209

Objections to territorial extensions 209

Political sub-divisions of metropolitan territory 209

Territorial clauses 210

Federal clauses 211

Federal reservations or statements 212

Hong Kong and Macau Special Administrative Regions 213

12 Successive treaties 215Bilateral treaties 216

Multilateral treaties 216

Express provisions 218

The treaty prevails over all other treaties, past and

future 219

The treaty is subordinate to an earlier one 220

The parties shall not enter into later inconsistent

treaties 220

An existing treaty shall not be affected 221

For parties to the treaty it prevails over earlier treaties 223

Compatible supplementary treaties are permitted 224

Comprehensive provisions 225

The best of both worlds 226

Neutral provisions 226

The residual rules of Article 30 227

13 Interpretation 230Article 31 (General rule of interpretation) 233

Article 32 (Supplementary means of interpretation) 233

Article 31 234

Paragraph 1 (basic rule) 234

Paragraph 2 (context) 235

Paragraph 3 (subsequent agreements and practice) 238

Subsequent agreements 238

xiv contents

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information

Page 13: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

Subsequent practice 241

Relevant rules of international law 243

Special meaning 244

Article 32 (Supplementary means of interpretation) 244

Other supplementary means of interpretation 248

Implied terms 249

Interpretation of treaties in more than one language 250

Article 33 253

14 Third states 256General rule 256

Treaties providing for obligations for third states 257

Treaties providing for rights for third states 257

Erga omnes status or regime 258

Revocation or modification of obligations or rights of third

states 259

Rules in a treaty becoming binding on third states through

international custom 260

Third state nationals 260

15 Amendment 262Bilateral treaties 264

Multilateral treaties 266

Automatically and comprehensively binding amendment

mechanisms 266

Deemed acceptance of amendment 270

The percentage problem 270

No effective amendment procedure 271

Review clauses 272

Residual rules 272

Proposal to amend a treaty as between all the

parties 272

Supplementary treaties 273

Agreement to modify a multilateral treaty between

certain parties only 274

Amendment before entry into force 275

contents xv

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information

Page 14: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

16 Duration and termination 277Express provisions 278

Indefinite duration with right to terminate 278

Duration for a fixed period with possibility of

extension 281

Indefinite duration with conditional right to

withdraw 281

Duration until a specific event 283

Duration for a specified period of years with no provision

for extension or withdrawal 283

Extension of treaties 283

Comprehensive clauses 284

Differing termination formulas 286

Duration for an indefinite period with no withdrawal

clause 286

Transitional provisions 286

Termination or withdrawal by consent 288

Reduction of parties below the number necessary for entry

into force 289

No provision for termination or withdrawal 289

Termination or suspension by conclusion of later

treaty 292

Termination or suspension for breach 293

Bilateral treaties 293

Multilateral treaties 294

Material breach 295

Fundamental breach 296

Supervening impossibility of performance 296

Fundamental change of circumstances (rebus sic

stantibus) 297

Paragraph 1 298

Paragraph 2 299

Paragraph 3 300

Procedure 300

Article 66 301

Instruments for termination, withdrawal or

suspension 301

Consequences of termination, suspension or withdrawal 302

Miscellaneous 303

xvi contents

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information

Page 15: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

Obligations imposed by international law independently

of a treaty 303

Separability of treaty provisions 304

Loss of rights by acquiescence 304

Can one validly withdraw from a treaty and then immediately

accede to it? 305

Other grounds for termination 305

By implication 305

Execution 306

Desuetude (disuse) or obsolescence 306

Extinction of the international legal

personality of a party 307

Severance of diplomatic or consular relations 307

Outbreak of hostilities 308

17 Invalidity 312Violation of internal law on competence to conclude

treaties 312

Violation of specific restrictions on authority to express

consent 315

Error 315

Fraud 316

Corruption 316

Coercion of a representative of a state (duress) 317

Coercion of a state by the threat or use of force 317

Peace treaties 318

Conflict with a peremptory norm of general international

law (jus cogens) 319

‘Unequal treaties’ 320

Consequences of invalidity (other than for jus cogens) 321

Procedure 321

General points 322

Separability of treaty provisions 323

Loss of rights by acquiescence 323

18 The depositary 324Bilateral treaties 324

Designation of the depositary 325

contents xvii

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information

Page 16: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

One or more states as depositary 326

An international organisation as depositary 327

The UN Secretary-General as depositary 328

Duty to act impartially 329

Functions of the depositary 331

Notifications and communications 334

The depositary as state 334

Correction of errors 335

Administrative functions 338

19 Registration and publication 339Registration 339

Registration regulations and procedure 341

Associated documents 343

Joint registration 343

Legal effect of registration or non-registration, and disputes 344

Publication 346

Publication by the United Nations 347

Publication by states 348

Other sources of treaty texts 350

Treaty indexes 351

20 Dispute settlement and remedies 352Voluntary settlement 352

Negotiations and consultations 352

Involvement of third parties 354

Conciliation 354

Compulsory binding settlement 355

Arbitration 355

Judicial settlement 358

Failure to provide for a compulsory dispute settlement

mechanism 360

Remedies 361

Countermeasures 362

Objects and limits of countermeasures 364

Proportionality 364

Procedural conditions 365

Sacrosanct obligations 366

xviii contents

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information

Page 17: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

21 Succession to treaties 367Vienna Convention on Succession of States in respect of

Treaties 1978 368

Customary law principles 369

Former colonies and other overseas territories 372

The two German states 374

The former Soviet Union 375

Russia 375

Former Soviet republics 376

The Baltic States 377

Former Yugoslav republics 378

Bosnia and Herzegovina, Croatia, Macedonia and

Slovenia 378

The Federal Republic of Yugoslavia (Serbia and

Montenegro) 379

Former Czechoslovakia 381

The European Community 383

Multilateral treaties: role of the depositary 384

‘Yugoslavia’ 384

Date of succession 385

Domestic implications of treaty succession 385

Hong Kong and Macau 386

Continued application of treaties 386

Multilateral treaties 387

Bilateral treaties with third states 390

Legal effect of the arrangements for third states 391

22 International Organisations 392Establishment by treaty 393

Interpretation of the constituent instrument 394

Membership 396

International legal personality 398

Treaties between states and international organisations or

between international organisations: the 1986 Convention 399

Negotiation of multilateral treaties 403

Treaties adopted within an international organisation 403

UN Sixth Committee 404

UN International Law Commission 404

contents xix

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information

Page 18: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

UN Specialised Agencies 405

Regional international organisations 405

Authentication of treaties adopted within an international

organisation 406

Responsibility for the acts of an international

organisation 406

Dispute settlement 407

United Nations 408

UN Specialised Agencies 409

Staff disputes 410

Human rights treaty-monitoring bodies 410

Special cases 411

The European Community/European Union 414

What’s in a name? 414

Capacity of the EC and the EU to conclude treaties 417

23 Drafting and final clauses 420Title 421

Name 421

Purpose 421

Preamble 424

Bilateral treaties 424

Multilateral treaties 424

Preambular paragraphs 425

MOUs 427

Main text 427

Layout 428

Headings 429

Numbering 429

Paragraph numbering 430

Cross-references 430

Footnotes 431

MOUs 431

Terminology 431

Definitions 432

Privileges and immunities 432

Table of contents 433

Final clauses 434

xx contents

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information

Page 19: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

MOUs 435

Relationship to other treaties 436

Settlement of disputes 436

Amendment and revision 436

Status of annexes 436

Signature 437

Ratification 438

Accession 438

Entry into force 439

Duration and denunciation, withdrawal or

termination 439

Provisional application 439

Territorial application 439

Reservations 440

Depositary 440

Registration 440

Authentic texts 441

Testimonium 441

Bilateral treaties 442

MOUs 444

Attachments 444

Exchanges of notes 445

MOUs 446

Procedure 447

Drafting techniques 448

How to begin 449

Style 449

Numbering 450

Languages 450

Amendment/consolidation 450

Substance 451

Presenting the draft 451

Appendices 453A Vienna Convention on the Law of Treaties 1969 453

B Single instrument treaty 488

C Single instrument MOU 489

D Model single instrument MOU 492

contents xxi

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information

Page 20: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

E Treaty constituted by an exchange of notes 493

F Model exchange of notes recording an understanding 495

G Treaty and MOU terminology: comparative table 496

H Credentials 497

I Full powers 498

J General full powers 499

K Final Act of the Vienna Conference 500

L Instrument of ratification 503

M Certificate of exchange of instruments of ratification 505

N Model exchange of notes correcting an error 506

O Procès-verbal of rectification 507

P UN Registration Regulations 508

Q List of overseas territories 513

Index 515

xxii contents

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information

Page 21: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

FOREWORD TO THE FIRST EDITION

The law of treaties is one of the branches of international law whose roots

go back furthest in time. With the emergence of political communities

came the need for them to deal with each other, to settle questions in

dispute without having to go to war, to arrange the consequences of

success or failure after a war had been fought, to strike alliances, organise

matters of trade, settle territorial limits to their power, and so on. For

such matters they needed from early times some accepted rules covering

two matters, the sending of envoys and the making of agreements. Both

have remained central to the conduct of what we now call international

relations.

Over centuries, the rules and practices governing those agreements

have evolved into the modern law of treaties. The evolutionary process is a

continuing one. A book on the law of treaties written at the end of the

nineteenth century is recognisably about the same subject as its equivalent

written today. Yet, while the general body of the law remains broadly

stable, times change and bring with them changes in the law. International

organisations have emerged as significant actors in the treaty-making

process; multilateral treaties are nowadays concluded more frequently,

and have more parties, than used to be the case – a reflection of the enor-

mous increase in the number of states during the course of the present

century – and there have been great technological changes, especially in

communications, which have noticeably affected the process by which

treaties are negotiated and concluded.

The modern law is now authoritatively set out in the Vienna

Convention on the Law of Treaties 1969, and in its parallel Convention of

1986 on treaties made by international organisations. They are, however,

not only far from a complete code on the subject, they are also not free

from continuing controversy even in respect of matters which they do deal

with (such as the vexed topic of reservations, which the International Law

Commission is presently studying once again, having previously reported

xxiii

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information

Page 22: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

on the matter in 1951); moreover, as is so often the way, new issues have

arisen which were not envisaged when the principal Vienna Convention of

1969 was concluded. A new book on the law of treaties, surveying the

subject some thirty years after the Vienna Convention was concluded, is

timely.

What, however, makes the present volume particularly welcome is its

manifest concern with the practical aspects of the law of treaties.

Undoubtedly the law of treaties exercises a great intellectual fascination.

Many issues directly or indirectly raise large questions of legal theory.

Furthermore, some treaties are of enormous historical significance, like

the Peace of Westphalia of 1698 and the Treaty of Rome of 1957. But it

must always be recalled that treaties are essentially instruments for regu-

lating by agreement the myriad day-to-day affairs of states. International

travel and broadcasting, international posts and telecommunications,

international trade – these and many other matters, which are usually

taken for granted, are dependent upon a network of often very detailed

treaties, both bilateral and multilateral.

For this array of treaties – essential for the conduct of international

relations, but seldom eye-catching – the negotiating process is well

established. So too are most of the relevant legal rules. But however well

developed international rules and processes may be, they have a practi-

cal dimension to which much less attention is usually paid. This is

doubly unfortunate. The true significance of many rules is illuminated

by being seen in the perspective of their application in practice, while

the steps which need to be taken in applying the rules can be as

important as the rules themselves, going far to explain why many things

are as they are.

It is the great virtue of this volume that in looking at the law and its

practical context, it grounds the treatment of the law of treaties firmly in

the real world of international relations, foreign ministries and diplomacy.

That is the world about which Anthony Aust is exceptionally well qualified

to write. As one of the senior legal advisers in the Foreign and

Commonwealth Office,1 who has served not only in London but also in

diplomatic posts abroad (including as Legal Adviser to the United

Kingdom Mission to the United Nations in New York from 1988 to 1991),

he brings to this book a wealth of experience on all aspects of treaty law

xxiv foreword to the first edition

11 He retired as Deputy Legal Adviser in 2002.

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information

Page 23: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

and practice. That experience, and the insights which flow from it,

pervade every chapter.

Everyone concerned with treaties and the law relating to them, whether

on a day-to-day basis, occasional practitioners in the field, or as outside

observers of the treaty process, will benefit greatly from Anthony Aust’s

up-to-date and practical treatment of the subject. I warmly commend this

volume, which is a welcome addition to the literature in this field.

Sir Arthur Watts KCMG QC

London, January 1999

foreword to the first edition xxv

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information

Page 24: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

PREFACE TO THE SECOND EDITION

I am, in plainer words, a bundle of prejudices – made up

of likings and dislikings.2

The first edition of this book was written and published when I was still

employed by the British Diplomatic Service. Although I was generally

allowed to express my own views, being still a public servant, I had some-

times to exercise restraint. Since retiring in 2002, I have been free to say

and write what I like. Although I hope I am no more prejudiced than

anyone else, in this edition I can give more of my personal views.

Identifying them is a simple matter; merely compare what I said in the first

edition with what I say now, as on reservations made on ‘re-accession’.

Although this edition may look much like the first, since it follows its

general form and layout, every page has changes, some substantial; and

even a few corrections. A lot of the material has been updated. Some argu-

ments have been refined, for example, on the legal rationale for MOUs.

New material has been added, for example, the use of MOUs in litigation;

the treaty-making capacity of some odd ‘states’, such as the Cook Islands,

the Vatican, Taiwan and Palestine; Article 46; the effect of hostilities on

treaties; third state nationals and treaties; ‘unsigning’ a treaty; reviving a

treaty; and so-called unequal treaties. Given their increasing importance

for treaties, there is a new chapter on international organisations, includ-

ing an attempt to explain the sometimes baffling role in treaty-making

played by the European Community/Union. The long passage on Hong

Kong and treaties has been updated and distributed among three chapters:

capacity, territorial application and succession. Even some of the quota-

tions are new. The bibliography has been omitted.

In response to popular request, the tables of treaties, MOUs and cases

list the pages where the each instrument or decision is referred to. They are

xxvi

12 Charles Lamb, Essays of Elia (1823), ‘Imperfect Sympathies’.

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information

Page 25: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

also listed using the name by which they are more commonly known,

thereby, making them that bit easier to find. Knowing how most people

work today, whenever possible a reference to an online source is given,

whether it be the registration number of a treaty published in the UNTS;

ILM (accessible also online with ‘Athens’); or a website.

I have again to thank my wife, Kirsten Kaarre Jensen, for her support.

But, since this edition was prepared when she was away at work, not when

I came home from my office, her quality time has not been so badly

affected.

Unless otherwise indicated, all views expressed in this book are my own.

But, for this edition, various people have provided valuable facts and

material: Jill Barratt, Paul Berman, Alan Boyle, Elise Cornu, Francis

Delon, Susan Dickson, James Ding, Gabrielle Dumont, Novella Galli,

Joanna Harrington, Frank Hoffmeister, Jan Klabbers, Pieter-Jan Kuiper,

Don Mackay, Adeline Pillet, Jean-Claude Piris, Peter Slinn, André Surena,

Andrew Townend, Luzius Wildhaber and Susan Williams. I am sorry if I

have omitted anyone.

No lawyer can work effectively without a well-run library. I therefore

wish to thank the staff of the FCO Legal Library, as well as of the Library of

the Institute of Advanced Legal Studies, London. I also owe a big debt to

Nevil Hagon and his colleagues in the FCO Treaty Section, and Arancha

Hinojal of the United Nations Treaty Section, for helping me with infor-

mation, finding material, and for reading and commenting on drafts on

the practical aspects of treaties.

My thanks also go to Finola O’Sullivan, Richard Woodham and Wendy

Gates of Cambridge University Press, and Elizabeth Doyle for copyediting

and Maureen MacGlashan for compiling the index.

I must again express my appreciation to the following for giving per-

mission to reproduce certain of the Appendices: A, B and E (the Controller

of the Her Majesty’s Stationary Office; C (the Austrian and British

Ministries of Defence); H, I and L (the Foreign and Commonwealth

Office); and K and P (the United Nations).

preface to the second edition xxvii

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information

Page 26: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

Article Page

11 8

12 482

(1)(a) 9, 16, 180, 402

(b) 103, 108

(c) 76, 80

(d) 129, 131

(e) 84, 158

(f) 94

(g) 94, 105, 110 n. 68, 162, 449

(h) 256

(i) 392

(2) 110 n. 65

13 263

(a) 9

(b) 400

(c) 8, 400

14 9–10, 93, 155, 317, 319, 394

15 9, 90, 154, 227, 278, 394, 400, 403

16 58, 394

17 83

(1) 7

(2) 78–9, 83

18 83

19 84–5, 403

10 89, 91

11 95, 113

12 24, 96, 98, 100

13 24, 102

14 104, 109

xxviii

ARTICLES OF THE CONVENTION CITED IN THE TEXT

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information

Page 27: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

Article Page

15 110

16 105, 334

17 107

18 2, 117, 120, 180

19 125, 133–6, 138, 143–4, 154, 158

20 125, 133, 143–4

(1) 139, 155

(2) 139

(3) 139, 396

(4) 141–4, 157

(5) 142–4, 153–5, 157, 159

21 125, 133, 143–4, 153

22 125, 133, 156

23 125, 133, 143, 144, 153

24 334

(1) 163

(2) 168

(3) 169

(4) 117, 162

25 172–3

26 94, 179–80, 353

27 138, 147–8, 180, 315

28 176

29 199, 202, 206

30 93, 218, 223, 227–9, 293

(1) 220

(2) 228

(3) 216, 218

(4) 224, 228, 274

(5) 275

31 10 n. 16, 12, 37, 127, 146, 193, 231–5, 244–5, 394

(1) 234, 245

(2) 47, 57, 128, 235–8

(3) 47, 57, 238–44, 263

(4) 244

32 12, 127, 146, 193, 231–3, 235, 244–9, 394

33 193, 253–4, 394

articles of the convention xxix

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information

Page 28: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

Article Page

34 256, 260

35 257, 259–60

36 257, 259–60, 288

37 259–60, 288

38 258, 260

39 264

40 10, 227, 272–4, 394

41 10, 216, 228–9, 272–4, 289

42 277, 305, 322

43 303

44 322

(1) 304

(2) 304

(3) 304

(4) 304, 316–17, 323

(5) 304, 317, 319, 323

45 301, 322–3

(a) 304–5

(b) 299, 305

46 312–14, 323

47 83, 312, 315, 323

48 312, 315–16, 323, 336–7

49 312, 316, 323

50 312, 316–17, 323

51 312, 317, 323

52 12, 312, 317–18, 323

53 312, 319–20, 322–3

54 278, 288

55 289

56 397

(1)(a) 290

(b) 290–1

(2) 290

57 288

xxx articles of the convention

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information

Page 29: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

Article Page

58 10, 216, 289

59 93, 215–16, 227–8, 292–3

60 10, 12, 13, 229, 293, 295, 402

61 13, 293, 300, 303

(1) 10, 296

(2) 297

62 12–13, 290, 293–4, 297–300, 402

63 307

64 312, 319–20, 322–3

65 293–4, 300–2, 321–2

66 156, 293–4, 300–1, 322

67 293–4, 300–2

68 293–4, 302

69 321

70 302–3

71 320

72 303

73 10, 303, 321, 362, 367

74 308 n. 134

75 318

76 325, 329

77 440

(1) 332, 334, 440

(2) 331–3

78 332, 334

79 316, 336–8

80 333, 344

81 98, 111, 116

82 438

83 98

84 111, 163, 168, 170

85 254, 440

Annex 354

articles of the convention xxxi

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information

Page 30: Cambridge University Press 978-0-521-86097-0 - Modern Treaty …assets.cambridge.org/97805218/60970/frontmatter/... · 2008-02-05 · Technical language is avoided as far as possible,

TABLE OF TREATIES

Where appropriate, a treaty is listed under either the name or acronym by

which it is most commonly known, or the subject matter is mentioned first.

AJIL ......................American Journal of International Law

ATS .......................Australian Treaty Series

CoE.......................Council of Europe

CTS.......................Consolidated Treaty Series

EHRR ...................European Human Rights Reports

ETS/CETS.............European Treaty Series/Council

of Europe Treaty Series

Herslet ..................Hertslet’s Commercial Treaties

ILM.......................International Legal Materials

ILR........................International Law Reports

LNTS ....................League of Nations Treaty Series

TIAS .....................Treaties and Other International Acts

Series (United States)

OJ .........................Official Journal of the European Community/Union

UKTS....................United Kingdom Treaty Series

UNTS ...................United Nations Treaty Series

Multilateral treaties

AETR II Agreement 1970 (993 UNTS 143 (No. 14533)) 152

Agreement concerning the Adoption of Uniform Technical Prescriptions for

Wheeled Vehicles, Equipment and Parts which can be Fitted and/or

Used on Wheeled Vehicles and the Conditions for Reciprocal

Recognition of Approvals Granted on the Basis of these Prescriptions

1958 (335 UNTS 211 (No. 4789)) 422

Agreement on Succession 2001 (2262 UNTS 253 (No. 40296); ILM (2002) 1)

102, 381, 385

xxxii

© Cambridge University Press www.cambridge.org

Cambridge University Press978-0-521-86097-0 - Modern Treaty Law and Practice, Second EditionAnthony AustFrontmatterMore information