le fonti del diritto internazionale
Transcription
le fonti del diritto internazionale
SETTIMANA 3 (16-18 MARZO) ---LE FONTI DEL DIRITTO INTERNAZIONALE ---Diritto internazionale (A-L) Corso del Prof. Attila Massimiliano Tanzi A.A. 2014-2015 LE FONTI DEL DIRITTO «1. The Court, whose function is to decide in accordance with international law such disputes as are submitted to it, shall apply: a) international conventions, whether general or particular, establishing rules expressely recognised by the contesting States; b) international custom, as evidence of a general practice accepted as law; c) the general principles of law recognised by civilised nations; d) [...] judicial decisions and the teachings of the most highly qualified publicists of the various nations, as subsidiary means for the determination of rules of law. 2. This provision shall not prejudice the power of the Court to decide a case ex aequo et bono, if the parties agree thereto» Statute of the International Court of Justice, Art. 38 LE FONTI DEL DIRITTO Fonti formali (o «tipiche»): • Gli accordi internazionali (che verranno discussi la prossima settimana); • Le consuetudini; • I principi generali del diritto (tra cui l’equità). Fonti atipiche: • Gli atti unilaterali; • Gli atti di soft law. LE FONTI DEL DIRITTO Nessuna gerarchia formale «Il faut se rappeler que le droit se développe entre deux extrêmes: la rigueur et la flexibilité. La rigueur doit garantir la stabilité du droit dans le sens que les cas systématiquement identiques doivent être décidés de façon identique. Cette stabilité est une exigence de la justice systematique (Systemgerechtigkeit). La flexibilité, c’est-à-dire l’adaptabilité du droit aux exigences du cas en question est aussi un postulat de la justice du cas particulier (Fallgerechtigkeit)» SCHWIND, Aspects et sens du droit international privé, in Recueil des cours, 1984-IV, p. 25 «Les règles normatives dans leur forme extérieure sont invariables comme les termes qui les expriment. Mais ces formes ne sont que des capsules dont le contenu est variable sans qu’on s’en aperçoive. La capsule reste invariée jusqu’au moment où le contenu a tellement changé que la capsule éclate et on doit en trouver une autre qui s’adapte mieux à la fonction changée» Ibidem, p. 125 LE FONTI DEL DIRITTO • Formazione in base al consenso degli Stati; • Assenza di un «legislatore internazionale»; • Revisione della teoria delle fonti nell’epoca della decolonizzazione: • Consuetudine istantanea: «Recognition or acceptance by a state of a particular customary rule as a norm of law signifies an expression of a state’s will, the consent of a state, to consider this customary rule to be a norm of international law» (TUNKIN, Theory of International Law, Londra, 1974, p. 123) • Convenzioni di codificazione: «[t]he General Assembly shall initiate studies and make recommendations for the purpose of: […] a. promoting international co-operation in the political field and encouraging the progressive development of international law and its codification [...]» (Charter of the United Nations, Art. 13). TENDENZE RECENTI «The augmented role of multilateral forums in devising, launching, refining and promoting general international law has provided the international community with a more formal lawmaking process that is used often. The increased clarity and the more transparent process encourage widespread participation and endow the resulting law with greater legitimacy than is generally possible through the traditional customary lawmaking process. The international community may establish international law that will bind every state without exception. [...] Indeed, the current system offers all states an increased opportunity to participate in that process, either at the relevant multilateral forum or shortly afterwards when reaction to the potential law is timely. This newly evolving process further enables the international legal system to attend to universal problems that increasingly require solutions in international law. They include threats to the peace, violations of fundamental human rights and risks that could envelop all humankind by severely damaging the global environment. [...] Solving these problems must not be thwarted by the objections or actions of few obstinate states». CHARNEY, Universal International Law, in American Journal of International Law, 1993, pp. 529-551, p. 551 TENDENZE RECENTI «Our actions, taken consistently with constitutional principles, require no separate external validation to make them legitimate. Whether it is removing a rogue Iraqi regime and replacing it, preventing weapons of mass destruction proliferation, or protecting America against an unaccountable court, the United States will utilize institutions of representative government, adhere to its constitutional structures, and follow its values when measuring the legitimacy of its actions» BOLTON, Address at The Federalist Society, 2003 National Lawyers Convention, 13 novembre 2003, reperibile sul sito www.fed-soc.org/pdf/bolton.pdf, pp. 19 ss. «[...] the decentralized and unaccountable way in which “international law”, and particularly customary international law, is made. It is one of those international law phenomena that just happens out there, among academics and activists [...]» BOLTON, in BLIX, The Use of Force in the International Community, Hersch Lauterpacht Memorial Lectures, Cambridge, 22 novembre 2004, p. 7 TENDENZE RECENTI Giusvolontarismo Giusnaturalismo «Many writers emphasize their antitethical features. Treaty law is identified as lex scripta, the result of a deliberate intellectual effort, as having the qualities of precision, clarity, systematic order; while customary law is lex non scripta, described as spontaneous, unintentional, unconscious in its origin, disorderly, uncertain in its form, slow in its establishment. Some writers even qualify it as a «procedé artisanal», not well adapted to the rapid pace of evolution in the modern world. Such an antithesis may be correct in the municipal field, where statutes and codes are rightly opposed to customary law, but it is not true in the international sphere. Treaty law and customary law do not exist in sealed compartments in contemporary international law. It has been recognized for a long time that rules of law formulated in the text of a treaty may at the same time constitute or become rules of customary international law. What is important to emphasize is that this process of interaction between the two sources has acquired a greatly increased significance in the contemporary world» JIMÉNEZ DE ARÉCHAGA, Custom, in CASSESE, WEILER (eds.), Change and Stability in International Law-Making, Berlin-New York, 1988, pp. 1 ss. GLI ACCORDI INTERNAZIONALI (BREVI CENNI) GLI ACCORDI INTERNAZIONALI 1. Disciplinati in ogni aspetto da una convenzione di codificazione: la Convenzione di Vienna sul diritto dei trattati del 1969 (1969 Vienna Convention on the Law of the Treaties, ‘VCLT’) «47. In the first place, it is for the Court to interpret the provisions of a treaty in the present case. It will do so in terms of customary international law on the subject, as reflected in Articles 31 and 32 of the 1969 Vienna Convention on the Law of Treaties, as the Court has stated on several occasions […]. Consequently, neither the circumstance that Nicaragua is not a party to the Vienna Convention on the Law of Treaties nor the fact that the treaty which is to be interpreted here considerably pre-dates the drafting of the said Convention has the effect of preventing the Court from referring to the principles of interpretation set forth in Articles 31 and 32 of the Vienna Convention». Dispute regarding Navigational and Related Rights (Costa Rica v. Nicaragua), in ICJ Reports, 2009, p. 237 2. Basati esclusivamente sul consenso esplicito degli Stati. «[...] treaty means an international agreement concluded between States in written form and governed by international law, whether embodied in a single instrument or in two or more related instruments and whatever its particular designation». VCLT, Art. 2(1)(a) GLI ACCORDI INTERNAZIONALI 3. Possono avere tre funzioni rispetto alla consuetudine: • Funzione dichiaratoria o ricognitiva; • Funzione di cristallizzazione; • Funzione di promozione o generativa. North Sea Continental Shelf (Federal Republic of Germany v. Denmark/Federal Republic of Germany v. The Netherlands), in ICJ Reports, 1969, pp. 42-47 LA CONSUETUDINE LA CONSUETUDINE • Basata sull’omogeneità di valori (jus pubblicum euroepeum). • Principi generali costituenti di carattere consuetudinario (consuetudo est servanda; pacta sunt servanda). • Reciprocità. • Prime norme sul trattamento dei cittadini, delle società e degli organi stranieri, nonché in materia di diritto bellico. • Diverse dagli «usi» e dalle «regole di cortesia» (cfr. contromisure e ritorsioni). LA CONSUETUDINE Due elementi costitutivi Opinio iuris sive necessitatis Prassi UN CASO DI SCUOLA: NICARAGUA V. USA Dichiarazione di accettazione unilaterale della giurisdizione della Corte degli Stati Uniti: «[The US will accept the jurisdiction of the Court for] disputes arising under a multilateral treaty, unless (1) all parties to the treaty affected by the decision are also parties to the case before the Court, or (2) the United States of America specially agrees to jurisdiction». Case Concerning Military and Paramilitary Activities in and Against Nicaragua, I.C.J. Reports, 1986, p. 31 IN TEMA DI PRASSI «183. [...] the Court has next to consider what are the rules of customary international law applicable to the present dispute. For this purpose, it has to direct its attention to the practice and opinio juris of States […]. In this respect the Court must not lose sight of the Charter of the United Nations and that of the Organization of American States, notwithstanding the operation of the multilateral treaty reservation. Although the Court has no jurisdiction to determine whether the conduct of the United States constitutes a breach of those conventions, it can and must take them into account in ascertaining the content of the customary international law which the United States is also alleged to have infringed. 184. The Court notes that there is in fact evidence, to be examined below, of a considerable degree of agreement between the Parties as to the content of the customary international law relating to the non-use of force and non-intervention. This concurrence of their view does not however dispense the Court from having itself to ascertain what rules of customary law are applicable. The mere fact that States declare their recognition of certain rules is not sufficient for the Court to consider these as being part of customary international law, and as applicable as such to those States. Bound as it is by Article 38 of its Statute to apply, inter alia, international custom “as evidence of a general practice accepted as law”, the Court may not disregard the essential role played by general practice. […]The Court must satisfy itself that the existence of the rule in the opinio juris of States is confirmed by practice». Ibidem, pp. 97 IN TEMA DI PRASSI «186. It is not to be expected that in the practice of States the application of the rules in question should have been perfect, in the sense that States should have refrained, with complete consistency, from the use of force or from intervention in each other’s internal affairs. The Court does not consider that, for a rule to be established as customary, the corresponding practice must be in absolutely rigorous conformity with the rule. In order to deduce the existence of customary rules, the Court deems it sufficient that the conduct of States should, in general, be consistent with such rules, and that instances of State conduct inconsistent with a given rule should generally have been treated as breaches of that rule, not as a recognition of a new rule. If a State acts prima facie incompatible with a recognized rule, but defends its conduct by appealing to exceptions or justifications contained within the rule itself, then whether or not the State’s conduct is in fact justifiable on that basis, the significance of that attitude is to confirm rather than to weaken the rule». Ibidem, pp. 98 IN TEMA DI PRASSI «The reason that the prohibition on torture continues to be a requirement of customary international law, even though widely abused, is not because it has a higher normative status that allows us to ignore the abuse, but because opinio juris as to its normative status continues to exist. No state, not even a state that tortures, believes that the international law prohibition is undesirable and that it is not bound by the prohibition. A new norm cannot emerge without both practice and opinio juris; and an existing norm does not die without the great majority of states engaging in both a contrary practice and withdrawing their opinio juris» HIGGINS, Problems and Process: International Law and How to Use It, Clarendon Press, Oxford, 1994, p. 22 IN TEMA DI OPINIO IURIS «188. [...] This opinio juris may, though with due caution, be deduced from, inter alia, the attitude of the Parties and the attitude of States towards certain General Assembly resolutions, and particularly resolution 2625 (XXV) entitled “Declaration on Principles on International Law concerning Friendly Relations and Co-operation among States in accordance with the Charter of the United Nations”. The effect of consent to the text of such resolutions cannot be understood as merely that of a “reiteration or elucidation” of the treaty commitment undertaken in the Charter. On the contrary, it may be understood as an acceptance of the validity of the rule or set of rules declared by the resolution by themselves. [...] 189. As regards the United States in particular, the weight of an expression of opinio juris can similarly be attached to its support of the resolution of the Sixth International Conference of American States condemning aggression (18 February 1928) and ratification of the Montevideo Convention on the Rights and Duties of States (26 December 1933) [...]. Also significant is the United States acceptance of the principle of the prohibition of the use of force which is contained in the declaration on principles governing the mutual relations of States participating in the Conference on Security and Co-operation in Europe (Helsinki, 1 August 1975), whereby the participating States undertake to refrain in their mutual relations, as well as in their international relations in general (emphasis added) from the threat or use of force. Acceptance of a text in these terms confirms the existence of an opinio juris of the participating States prohibiting the use of force in international relations». Case Concerning Military and Paramilitary Activities in and Against Nicaragua, I.C.J. Reports, 1986, pp. 99-100 IN TEMA DI OPINIO IURIS «190. A further confirmation of the validity as customary international law of the principle of the prohibition of the use of force expressed in Article 2, paragraph 4 of the Charter of the United Nations may be found in the fact that it is frequently referred to in statements by State representatives as being not only a principle of customary international law but also a fundamental or cardinal principle of such law. The International Law Commission, in the course of its work on the codification of the law of treaties, expressed the view that the law of the Charter concerning the prohibition of the use of force in itself constitutes a conspicuous example of a rule in international law having the character of jus cogens […] 191. As regards certain particular aspects of the principle in question, [...] the Court can again draw on the formulations contained in the Declaration on Principles on International Law concerning Friendly Relations and Co-operation among States in accordance with the Charter of the United Nations (General Assembly resolution 2625 (XXV) referred to above). As already observed, the adoption by States of this text affords an indication of their opinio juris as to customary international law on the question. Alongside certain descriptions which may refer to aggression, this text includes others which refer only to less grave forms of the use of force. In particular, according to this resolution: “[...] Every State has the duty to refrain from organizing or encouraging the organization of irregular forces or armed bands, including mercenaries, for incursion into the territory of another State. Every State has the duty to refrain from organizing, instigating, assisting or participating in acts of civil strife or terrorist acts in another State or acquiescing in organized activities within its territory directed towards the commission of such acts, when the acts referred to in the present paragraph involve a threat or use of force”». Case Concerning Military and Paramilitary Activities in and Against Nicaragua, I.C.J. Reports, 1986, pp. 100-101 IN TEMA DI OPINIO IURIS «193. The general rule prohibiting force allows for certain exceptions. [...] First, with regard to the existence of [the right of selfdefense], it notes that in the language of the United Nations Charter, the inherent right (or “droit naturel”) which any State possesses in the event of an armed attack, covers both collective and individual self-defense. Thus, the Charter itself testifies to the existence of the right of collective self-defense in customary international law. Moreover, just as the wording of certain General Assembly declarations adopted by States demonstrates their recognition of the principle of the prohibition of force as definitely a matter of customary international law, some of the wording in those declarations operates similarly in respect of the right of selfdefense (both collective and individual). Thus, in the declaration quoted above on the Principles on International Law concerning Friendly Relations and Co-operation among States in accordance with the Charter of the United Nations, the reference to the prohibition of force is followed by a paragraph stating that: “nothing in the foregoing paragraphs shall be construed as enlarging or diminishing in any way the scope of the provisions of the Charter concerning cases in which the use of force is lawful”. This resolution demonstrates that the States represented in the General Assembly regard the exception to the prohibition of force constituted by the right of individual or collective self-defence as already a matter of customary international law». Case Concerning Military and Paramilitary Activities in and Against Nicaragua, I.C.J. Reports, 1986, pp. 102-103 IN TEMA DI OPINIO IURIS • La Corte internazionale di giustizia ha sostenuto questa posizione anche successivamente «General Assembly resolutions, even if they are not binding, may sometimes have normative value. They can, in certain circumstances, provide evidence important for establishing the existence of a rule or the emergence of an opinio juris. To establish whether this is true of a given General Assembly resolution, it is necessary to look at its content and the conditions of its adoption; it is also necessary to see whether an opinio juris exists as to its normative character. Or a series of resolutions may show the gradual evolution of the opinio juris required for the establishment of a new rule». Advisory Opinion on the Legality of the Threat or Use of Nuclear Weapons, in I.C.J. Reports, 1996, p. 826 • Posizione sostenuta anche da giudici nazionali: ad esempio, si pensi alla causa Filartiga c. Peña-Irala di fronte alla United States Court of Appeals for the Second Circuit. I PRINCIPI GENERALI DEL DIRITTO I PRINCIPI GENERALI DEL DIRITTO 1. Fonte con ruolo integrativo. «[I]l richiamo ai principi generali del diritto permette [...] di ricomprendere, nell’ambito dell’elencazione contenuta nello Statuto della Corte, una categoria residuale di norme di diritto internazionale generale». GAJA, Principi del diritto (Diritto internazionale), in Enciclopedia del Diritto, vol. XXXV, 1986, p. 537 2. Difficilmente a fondamento esplicito di decisioni internazionali. «Whilst it is difficult to find decisions of international tribunals expressly based upon general principles, such principles often play a significant role as part of the legal reasoning in decisions». BROWNLIE, The Rule of Law in International. International Law at the Fiftieth Anniversary of the United Nations, The Hague-London-Boston, 1998, p. 23 I PRINCIPI GENERALI DEL DIRITTO 3. Largamente riconosciuti dalla giurisprudenza nazionale. «Costituisce un principio di diritto internazionale consuetudinario quello per cui uno Stato deve astenersi dall’esercitare i suoi poteri sovrani quando ciò implichi ingerenza sugli organi di rilevanza internazionale di un altro ente sovrano che operino nell’ambito del territorio di tale Stato (nella specie, il principio viene enunziato in riferimento agli enti centrali della Chiesa Cattolica)». Marcinkus e altri, Cassazione Penale, sentenza, 17 luglio 1987, riprodotta in Rivista di diritto internazionale, 1988, pp. 216 ss. «Un principio generalmente riconosciuto nella comunità internazionale – e di cui sono espressione l’art. 2 della Dichiarazione universale dei diritti dell’uomo del 10 dicembre 1948 e l’art. 14 della Convenzione europea per la salvaguardia dei diritti dell’uomo e delle libertà fondamentali del 1950 – vieta di discriminare i soggetti in quanto tali per ragioni, tra l’altro, di lingua». Provincia autonoma di Triete c. Regione Friuli Venezia Giulia, Consiglio di Stato, sentenza, 3 ottobre 1990, riprodotta in Rivista di diritto internazionale privato e processuale, 1991, pp. 792 ss. «L’adeguamento automatico dell’ordinamento italiano alle norme di diritto internazionale generalmente riconosciute, sancito dall’art. 10, comma 1° Cost., si riferisce per giurisprudenza consolidata a principi generali ovvero a norme di carattere consuetudinario. Un principio di questo tipo o una consuetudine non è rinvenibile in tema di inflizione della pena dell’ergastolo ad imputati minori, dal momento che dal variegato panorama delle legislazioni degli altri Stati più affini a quella del nostro Paese non risulta l’esistenza di norme internazionali generalmente riconosciute, tenuto conto della estrema diversità delle discipline che regolano il regime delle pene più gravi nei vari Paesi». Corte Costituzione, sentenza n. 168, 28 agosto 1994, riprodotta in Rivista di diritto internazionale, 1994, pp. 518 ss. I PRINCIPI GENERALI DEL DIRITTO 4. Ruolo fondamentale anche dal punto di vista procedurale o interpretativo. 5. Alcuni esempi: • Buona fede • Equità (secundum, infra e contra legem) • Estoppel/Non contraddizione • Legittimo affidamento GLI ATTI UNILATERALI GLI ATTI UNILATERALI 1. Possono essere fonti di obblighi internazionali. «It is well recognized that declarations made by way of unilateral acts, concerning legal or factual situations, may have the effect of creating legal obligations. […] An undertaking of this kind, if given publicly, and with an intent to be bound, even though not made within the context of international negotiation, is binding». Nuclear Tests (Australia v. France), in ICJ Reports, 1974, par. 43, p. 267 2. Fonte diversa da quella pattizia. «[i]n practice, it is often difficult to establish whether the legal effects stemming from the unilateral behaviour of a State are the consequence of the intent that it has expressed or depend on the expectations that its conduct has raised among other subjects of international law […]». INTERNATIONAL LAW COMMISSION, Guiding Principles applicable to unilateral declarations of States capable of creating legal obligations, Preambolo 3. Un esempio: la vertenza tra Italia e India sui due fucilieri del Battaglione San Marco (‘caso marò’). GLI ATTI DI SOFT LAW GLI ATTI DI SOFT LAW 1. 2. 3. 4. Non vincolanti (non-legally binding). Non dotati di una denominazione rigida: Carta (Charter), Dichiarazione (Declaration), Piano d’azione (Plan of Action), Regole modello (Model Rules), Codice di condotta (Code of Conduct) o Linee-guida (Guidelines). Possono svolgere funzione dichiarativa, cristallizzatrice o generativa di consuetudini internazionali. Sono impegni politici, ma che risentono fortemente del principio di buona fede. «When States enter into a non-legal commitment, they generally assume a political (or moral) obligation to carry it out in good faith. Other States concerned have reason to expect such compliance and to rely on it. What we must deduce from this is that the non-binding declarations that express political or moral commitments are governed by the general principle of good faith. Inasmuch as good faith is an accepted general principle of international law, it is appropriate to apply it to such commitments. There is no reason for distinguishing the legal meaning of “good faith” from a supposed political meaning of that concept. Whether called legal or political, its meaning is essentially the same. A significant legal consequence of the “good faith” principle is that a party which committed itself in good faith to a course of conduct or to recognition of a legal situation would be stopped from acting inconsistently with its commitment or position […]» SCHACHTER, Non-Conventional Concerted Acts, in BEDJAOUI (ed.), International Law: Achievements and Prospects, Dordrecht, 1991, pp. 265 ss., p. 267 GLI ATTI DI SOFT LAW 5. I principali ambiti di applicazione sono: • • • Diritti umani (ad es: Dichiarazione universale dei diritti dell’uomo); Diritto dell’economia (ad es: UNCTAD Code of Conduct on the Transfer of Technologies); Diritto dell’ambiente (ad es: Agenda 21, Dichiarazione di Rio del 1992, Convenzioni quadro). «[...] new norms and standards have been developed, set forth in a great number of instruments over the last two decades. Such norms have to be taken into consideration, and such new standards given proper weight, not only when States contemplate new activities but also when continuing with activities begun in the past. This need to reconcile economic development with protection of the environment is aptly expressed in the concept of sustainable development» Gabčíkovo-Nagymaros Project (Hungary v. Slovakia), in ICJ Reports, 1997, p. 78 GLI ATTI DI SOFT LAW 6. Parte della dottrina sostiene che abbiano un “effetto di liceità”. «Riteniamo che la raccomandazione produca, a termini della Carta, un effetto che può chiamarsi di liceità. Riteniamo cioè che non commetta illecito lo Stato il quale, per eseguire una raccomandazione di un organo dell’ONU, tenga un contegno contrario ad impegni precedentemente assunti mediante accordo oppure ad obblighi derivanti da diritto internazionale consuetudinario. L’effetto di liceità è da ammettere solo nel rapporto tra gli Stati membri, ed è da ammettere, in applicazione di quanto abbiamo sempre sostenuto circa il dovere degli organi di rispettare la Carta, solo in ordine alle raccomandazioni legittime. Entro questi limiti esso può essere dedotto dall’obbligo di cooperazione che gli Stati membri hanno assunto nell’aderire alla Carta e dal potere attribuito all’ONU di perseguire, sia pure mediante atti non vincolanti, fini generali. In altri termini, la possibilità per gli organi dell’ONU di indicare agli Stati membri quali contegni siano necessari nell’interesse comune non avrebbe senso se non comportasse la rinuncia da parte del singolo Stato a denunciare l’eventuale illiceità, alla luce di norme diverse da quelle statutarie, dei contegni raccomandati» CONFORTI, FOCARELLI (a cura di), Le Nazioni Unite, Padova, 2010, p. 298 GLI ATTI DI SOFT LAW 7. Principali vantaggi rispetto ad uno strumento convenzionale: 1. 2. 3. 4. Negoziazione più agevole; Maggiore flessibilità e agilità delle procedure di adozione e funzionamento; Maggiore elasticità e flessibilità nella revisione; Minore rischio di “smontare” il diritto consuetudinario. 8. Principali svantaggi rispetto ad uno strumento convenzionale: 1. 2. 3. Non ha natura vincolate; Non gode dello stesso livello di pubblicità; Presenta maggiori ostacoli durante l’applicazione procedurale e sul versante istituzionale (coinvolgimento parlamentare, attuazione tramite amministrazioni dello Stato, etc etc). GRAZIE E ALLA PROSSIMA SETTIMANA