条约法中的形式主义与灵活性

Jean d’Aspremont
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摘要

这篇文章旨在表明,形式主义在条约法中的主导地位比前一段所概述的一般看法要微妙得多,也更有资格。有人认为,条约从制定到终止一直在形式主义和灵活性之间摇摆不定,国际律师为规范条约的期限而设计的一整套规则反映了这种不断的摇摆:两项《维也纳公约》所编纂的条约法既表现出形式的合理性,又表现出灵活性。本章旨在阐明这一基本紧张关系的各种不同特征。这里更具体地提出,形式合理性和灵活性之间的摇摆在三个不同的层面上达到高潮:在条约创建的时刻,在其作为一项适当地被称为条约的有效性和识别的时刻,最后,在其适用的时刻,也就是当条约的规定面临事实并相应地需要加以解释的时候。在每一个阶段,形式结构和灵活性之间的紧张关系都根据不同的平衡来解决。所达成的不同平衡本身是不稳定的,并且处于不断变化的状态,因为它们依赖于条约,并没有被《维也纳公约》的规则明确具体化。的确,形式主义和灵活性之间的不断摇摆也注入了暂停和终止的规则。然而,由于暂停和终止是另一项贡献的主题,条约的“取消”将仅作简要讨论。
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Formalism Versus Flexibility in the Law of Treaties
This contribution aims to show that the dominance of formalism in treaty law is much more nuanced and qualified than the general perception sketched out in the preceding paragraph suggests. It will be argued that from its making to its termination, a treaty see-saws between formalism and flexibility, and that the body of rules designed by international lawyers to regulate the life of treaties mirrors this constant oscillation: the law of treaties, as codified in the two Vienna Conventions, displays both formal rationality and flexibility. This chapter aims to shed some light on the various, and disparate, features of this fundamental tension. It is more specifically submitted here that the oscillation between formal rationality and flexibility comes to a head at three different levels: at the moment of the creation of the treaty, at the moment of its validation and identification as a treaty properly so-called and, finally, at the moment of its application, that is when the provisions of a treaty are confronted with the facts and accordingly need to be interpreted. At each of these stages, the tension between formal structures and flexibility is solved according to a different equilibrium. The different balances struck are themselves unstable and in a constant state of flux, for they are treaty-dependent and have not been definitively concretized by the rules of the Vienna Conventions. It is true that the constant oscillation between formalism and flexibility also infuses the rules on suspension and termination. However, as suspension and termination form the subject of a separate contribution, the ‘un-making’ of treaties will be addressed only briefly.
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