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Treaty Interpretation 2nd Revised edition [Pehme köide]

(Visiting Professor, University College London)
  • Formaat: Paperback / softback, 568 pages, kõrgus x laius x paksus: 231x155x31 mm, kaal: 836 g
  • Sari: Oxford International Law Library
  • Ilmumisaeg: 09-Mar-2017
  • Kirjastus: Oxford University Press
  • ISBN-10: 0198806248
  • ISBN-13: 9780198806240
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  • Formaat: Paperback / softback, 568 pages, kõrgus x laius x paksus: 231x155x31 mm, kaal: 836 g
  • Sari: Oxford International Law Library
  • Ilmumisaeg: 09-Mar-2017
  • Kirjastus: Oxford University Press
  • ISBN-10: 0198806248
  • ISBN-13: 9780198806240
Treaty Interpretation, now in its second edition, explores and analyzes the rules for interpretation of treaties and their application in national and international jurisdictions.

This series features works on substantial topics in international law which provide authoritative statements of the chosen areas. Taken together they map out the whole of international law in a set of scholarly reference works and treatises intended to be of use to scholars, practitioners, and students.

This book provides a guide to interpreting treaties properly in accordance with the modern rules for treaty interpretation which are codified in the 'Vienna Convention on the Law of Treaties'. These rules now apply to virtually all treaties both in an international context and within many national legal systems where treaties have an impact on a large and growing range of matters. Lawyers, administrators, diplomats, and officials at international organisations are increasingly likely to encounter issues of treaty interpretation which require not only knowledge of the relevant rules but also how these rules have been, and are to be, applied in practice.

There is now a considerable body of case law on application of the codified rules. This case law, combined with the history and analysis of the rules, provides a basis for understanding this most important task in the application of treaties internationally and within national systems of law. Any lawyer who ever has to consider international matters, and increasingly any lawyer whose work involves domestic legislation with any international connection, is at risk nowadays of encountering a treaty provision which requires interpretation, whether the treaty provision is explicitly in issue or is the source of the relevant legislation.

This expanded edition includes consideration of a range of recent cases, takes account of relevant work of the International Law Commission, and has new material addressing matters raised in the growing body of literature on treaty interpretation.
Foreword to the First Edition xv
Michael Wood
Preface to the Second Edition xvii
Acknowledgements xix
Abbreviations xxi
Note on Citations xxiii
Table of Cases xxv
Table of Treaties and Legislation xxxvii
Part I. Overview, History, Materials, And Dramatis Personae
The Vienna Rules
1 A Single Set of Rules of Interpretation
5(52)
1 Introduction
5(8)
1.1 Guide to analytical approach
9(4)
2 Applicability of the Vienna Rules Generally
13(7)
2.1 History pf recognition by the ICJ of the Vienna rules
14(2)
2.2 Express endorsement of the Vienna rules by the ICJ
16(2)
2.3 Endorsement of the Vienna rules by other international courts and tribunals
18(1)
2.4 Endorsement of the Vienna rules by national courts
19(1)
3 Definitions and Key Concepts
20(10)
3.1 Treaty
20(3)
3.2 Party, signatory, etc
23(1)
3.3 Treaty relations
24(1)
3.4 Preparatory work
25(1)
3.5 Intertemporal law
26(1)
3.6 'Interpretation', 'application', and 'construction'
26(4)
4 The Process of Interpretation and the Nature of the Rules
30(11)
4.1 The process of interpretation and the principle of autonomous interpretation
30(5)
4.2 A general 'rule' and 'rules' of interpretation
35(3)
4.3 Are the Vienna rules 'rules'?
38(3)
5 Five Examples
41(16)
5.1 Interpretation by the European Court of Human Rights- a typical approach
42(2)
5.2 An arbitral award illustrating the difference between treaty interpretation and application of law
44(3)
5.3 An interpretation by an arbitral tribunal of the International Centre for Settlement of Investment Disputes (ICSID)- interpretation and application of a treaty
47(4)
5.4 Interpretation within a national legal system- contrasting application of Vienna rules and domestic precedent
51(3)
5.5 Interpretation within a national legal system- increasing awareness of the Vienna rules in courts in the UK
54(3)
2 Development of Rules of Interpretation
57(24)
1 Introduction
57(3)
2 Treaty Interpretation in the Greco-Roman Era
60(1)
3 Grotius, Pufendorf, Vattel, and Canons of Interpretation
61(1)
4 The Harvard Draft Convention on the Law of Treaties
62(3)
5 The Permanent Court of International Justice
65(1)
6 Restrictive Interpretation and Effectiveness
66(2)
7 Institut de Droit International
68(1)
8 The Practice of the International Court of Justice Before the Vienna Convention
69(2)
9 The New Haven School and World Public Order
71(3)
10 The Work of the International Law Commission and the Vienna Conference
74(7)
3 Interpretative Material Generated in Making Treaties
81(42)
1 Introduction
81(1)
2 Making Treaties
82(9)
2.1 Who initiates and negotiates treaties?
82(1)
2.2 Negotiating and drawing up a treaty
82(1)
2.2.1 Negotiation and full powers
83(1)
2.3 Adoption and authentication of a treaty text
84(1)
2.4 Concluded and other instruments
85(1)
2.4.1 Final acts and protocols
86(1)
2.4.2 Distinguishing treaties from other instruments
87(4)
3 Reservations and Statements or Declarations Affecting Interpretation of Treaties
91(21)
3.1 Reservations
91(2)
3.2 Interpretative declarations
93(1)
3.2.1 Interpretative declarations in preparatory work and at, or after, conclusion
94(1)
3.3 Differentiating between reservations and interpretative declarations
95(1)
3.3.1 The nature of the difference
95(1)
3.3.2 Wrinkles in the distinction and 'conditional interpretative declarations'
96(1)
3.3.3 Confusing terminology: statements and declarations
97(1)
3.3.4 Differentiating in practice
98(1)
3.3.5 The scheme for differentiation envisaged in the ECs Guide
100(1)
3.4 Other declarations
101(1)
3.5 Procedure relating to interpretative declarations
101(1)
3.5.1 Approval of an interpretative declaration
102(1)
3.5.2 Opposition to an interpretative declaration
103(1)
3.5.3 Recharacterization of an interpretative declaration
104(1)
3.6 Effects of interpretative declarations
105(1)
3.6.1 Effects of general agreement to an interpretative declaration
106(1)
3.6.2 Effects of approval by only one state or fewer than all
107(1)
3.6.3 Decisions of courts and tribunals on interpretative declarations
109(2)
3.7 Conclusion on interpretative declarations
111(1)
4 Preparatory Materials
112(11)
4.1 How far does preparatory work trace history?
112(1)
4.1.1 What illuminates a common understanding?
113(1)
4.1.2 Tracing a historical line
113(1)
4.1.3 Looking at the main source
114(1)
4.1.4 Using all material available to negotiators
116(1)
4.2 Whether preparatory work can be differentially admissible
117(1)
4.3 Documents associated with treaty negotiations
118(1)
4.4 Admissibility of documents from a unilateral source
119(4)
4 Who Uses the Vienna Convention to Interpret Treaties?
123(38)
1 Introduction
123(2)
2 International Organizations
125(4)
2.1 General interpretative competence in international organizations
125(1)
2.2 The two Vienna Conventions on the Law of Treaties
126(1)
2.3 The United Nations and other organizations
127(2)
2.4 The European Community and European Union
129(1)
3 International Courts and Tribunals
129(12)
3.1 International Court of Justice
129(1)
3.2 Arbitration
130(1)
3.3 The World Trade Organization Dispute Settlement Understanding
131(3)
3.4 The International Centre for Settlement of Investment Disputes (ICSID)
134(1)
3.5 The European Court of Human Rights
135(1)
3.6 The European Court of Justice (Court of Justice of the European Union)
136(1)
3.6.1 The treaties founding the Community
136(1)
3.6.2 Treaties to which the Community is a party with non-Member States
137(1)
3.6.3 Community instruments giving effect to treaties with non-members
140(1)
3.7 Other international courts and tribunals
141(1)
4 National Legal Systems
141(20)
4.1 Implementation of treaties
141(2)
4.2 Judicial interpretation within national legal systems
143(1)
4.2.1 Parties to the Vienna Convention generally
143(1)
4.2.2 The common law tradition
144(1)
4.2.3 States which are not parties to the Vienna Convention
150(11)
Part II. Interpretation Applying The Vienna Convention On The Law Of Treaties
A The General Rule
5 The General Rule: (1) The Treaty, its Terms, and their Ordinary Meaning
161(62)
1 A 'Treaty'
162(5)
1.1 The 'treaty' and its 'terms'
164(1)
1.2 The sound of silence-absent and implied terms
165(2)
2 'Good Faith'
167(14)
2.1 History and preparatory work relating to 'good faith'
168(2)
2.2 Ordinary meaning of 'good faith'
170(1)
2.3 'Good faith' in context and in the light of the Convention's object and purpose
171(1)
2.4 Issues and practice
172(1)
2.4.1 'Good faith' generally
172(1)
2.4.2 'Good faith' meaning reasonableness
176(1)
2.4.3 'Good faith' limiting interpretation of a power
177(1)
2.4.4 'Good faith' requiring balancing of treaty elements
178(1)
2.4.5 'Good faith' and the principle of effectiveness (ut res magis valeat quam pereat)
179(2)
3 'Ordinary Meaning'
181(16)
3.1 History and preparatory work
182(1)
3.2 Ordinary meaning of 'ordinary meaning to be given to the terms of the treaty'
183(1)
3.3 Issues and practice
184(1)
3.3.1 Role of ordinary meaning
184(1)
3.3.2 Dictionaries and other sources of definitions
186(1)
3.3.3 Literal meanings of single terms
189(1)
3.3.4 No ordinary meaning or no single one?
190(1)
3.3.5 Generic terms
192(1)
3.3.6 'Ordinary to whom?
193(1)
3.3.7 Treaty language and terms
194(1)
3.3.8 Terms and concepts
195(2)
4 'Context'
197(14)
4.1 Background and context
198(1)
4.2 Issues and practice
199(1)
4.2.1 Immediate context-grammar and syntax
199(1)
4.2.2 Title, headings, and chapeaux
200(1)
4.2.3 Context showing structure or scheme
202(1)
4.2.4 Related and contrasting provisions
205(1)
4.2.5 Preamble
205(1)
4.2.6 Punctuation and syntax
206(1)
4.2.7 Different meanings of same term in a single instrument
209(1)
4.2.8 Link with object and purpose
210(1)
5 'Object and Purpose'
211(11)
5.1 History and preparatory work relating to 'object and purpose'
212(1)
5.2 Ordinary meaning of 'object and purpose' in context
212(3)
5.3 Issues and practice
215(1)
5.3.1 Singular object and purpose
215(1)
5.3.2 Finding object and purpose from preamble and substantive provisions
216(1)
5.3.3 Can the object and purpose be used to counter clear substantive provisions?
218(1)
5.3.4 Object and purpose identifying general scope of treaty
219(1)
5.3.5 Object and purpose in a particular provision
220(1)
5.3.6 Principle of effectiveness (general)
221(1)
6 Conclusions
222(1)
6 The General Rule: (2) Agreements as Context, Subsequent Agreements, and Subsequent Practice
223(30)
1 Introduction
223(9)
1.1 The linking notion of agreement
223(5)
1.2 Substantial identity of effect of subsequent agreements on interpretation as of those at time of conclusion
228(3)
1.3 Interpretative agreement in subsequent practice
231(1)
2 Agreements and Instruments Made in Connection with Conclusion of a Treaty
232(10)
2.1 Meaning of 'Conclusion' of a treaty
232(1)
2.1.1 Issues arising as to 'in connection with conclusion' of a treaty
235(2)
2.2 Interpretative role of agreements connected with conclusion of a treaty
237(2)
2.3 Interpretative role of instruments made by one or more parties
239(1)
2.3.1 Instruments covered by article 31(2)(6) of the Vienna Convention
239(1)
2.3.2 Role of unilateral instruments covered by article 31(2)(b)
241(1)
3 Subsequent Agreements
242(11)
3.1 Fact of agreement, not form, is the key factor
243(1)
3.1.1 History and analysis
244(1)
3.1.2 ICJ looks for fact of agreement, notfirm
246(1)
3.2 Less formal or informal agreement
247(3)
3.3 Formal amendment and changed wording
250(1)
3.3.1 Effect of amending agreements
250(1)
3.3.2 Changed wording in related or comparable agreements
253(1)
4 Subsequent Practice
253(35)
4.1 Elements of subsequent practice
254(8)
4.1.1 History and development of the provision
254(1)
4.1.2 Meaning of 'subsequent practice'
254(2)
4.1.3 Frequency and uniformity of practice
256(1)
4.1.4 Practice may consist of executive, legislative, and judicial acts
257(2)
4.1.5 'Subsequent practice' and 'subsequent conduct' distinguished
259(5)
4.1.6 Practice 'in the application of the treaty'
264
4.2 Deduction from absence of subsequent practice
262(4)
4.2.1 Absence of action
262(2)
4.2.2 Combining action with absence of reaction
264(2)
4.3 Parties participating in the practice
266(3)
4.3.1 Practice must be attributable to parties
266(1)
4.3.2 Agreement, not practice, of all parties is required
266(1)
4.3.3 Practice of some parties only does not interpret a treaty inter se' unless so agreed
267(1)
4.3.4 Practice of some parties in absence of that of others
268(1)
4.4 'Establishing' agreement
269(4)
4.5 Subsequent practice linked with informal agreement, understandings, or other instruments
273(1)
4.6 Subsequent practice and 'evolutive' interpretation distinguished
274(1)
4.7 Subsequent practice and amendment differentiated
275(5)
4.8 Subsequent practice in international organizations
280(7)
4.8.1 Whose practice in the organization?
280(1)
4.8.2 Practice in relation to a treaty establishing an organization
281(4)
4.8.3 Practice in relation to treaty provisions other than in constitutions of international organizations
285(1)
4.8.4 Does practice of courts and tribunals constitute precedent?
285(2)
4.9 Possible overlap with relevant rules of international law
287(1)
5 Conclusions
288(1)
7 The General Rule: (3) Relevant Rules of International Law and Special Meanings
289(58)
1 Introduction
289(6)
1.1 The intertemporal rule in general international law
291(1)
1.2 Time factors in treaty interpretation
292(3)
2 History and Preparatory Work of Article 31(3)(c)
295(3)
3 Ordinary Meaning of Article 31(3)(c) in Context, etc
298(6)
3.1 There shall be taken into account, together with the context
298(1)
3.2 Relevant rules of international law
299(3)
3.2.1 Relevance
299(1)
3.2.2 Rules of international law
299(3)
3.3 Which are 'the parties'?
302(2)
4 Issues and Practice
304(30)
4.1 Terms
305(12)
4.1.1 Extent of relevant international law'
305(2)
4.1.2 Rules'
307(3)
4.1.3 Applicable in the relations between which parties?
310(7)
4.1.4 Conclusion as to parties'
317(1)
4.2 Intertemporal and temporal issues
317(3)
4.3 Clarifying meaning by reference to international law
320(3)
4.4 Reference to other treaties
323(5)
4.4.1 Reference to international law stated in common form treaties
324(1)
4.4.2 Reference to the same word as used in other treaties
325(1)
4.4.3 Reference to terms or phrases used in treaties on the same subject
325(1)
4.4.4 Requirement to take into account another treaty
326(2)
4.5 Filling gaps by reference to general international law
328(3)
4.6 Parallel and conflicting obligations
331(1)
4.7 Taking account of international law developments
332(2)
5 Special Meanings
334(8)
5.1 Introduction
334(1)
5.2 History and preparatory work
335(2)
5.3 Issues and practice
337(10)
5.3.1 Special meaning and ordinary meaning distinguished
337(1)
5.3.2 Burden of establishing a special meaning
338(1)
5.3.3 Evidence required to establish a special meaning
339(2)
5.3.4 Special meanings and special regimes
341(1)
6 Conclusions
342(5)
B Supplementary Means of Interpretation
8 Supplementary Means of Interpretation
347(66)
1 Introduction
347(2)
2 History and Preparatory Work
349(7)
2.1 Separating supplementary means from the general rule
349(3)
2.2 Ready reference to preparatory work distinguished from basing interpretations on it alone
352(1)
2.3 Distinction between use of supplementary means 'to confirm' and 'to determine' the meaning
353(3)
3 Meaning of 'Recourse' and 'Supplementary'
356(3)
3.1 'Recourse'
356(1)
3.2 'Supplementary'
356(1)
3.3 Further supplementary means
357(1)
3.4 Relationship between supplementary means and the general rule
358(1)
4 Issues and Practice
359(50)
4.1 Systematic use of gateways, unsystematic use, and by-passing them
360(1)
4.1.1 Explicit reference to the qualifying gateway
360(1)
4.1.2 Reaching the preparatory work informally
361(1)
4.1.3 Incidental use of supplementary means
363(1)
4.1.4 Admitting preparatory work introduced by parties
363(1)
4.2 Confirming meaning
364(1)
4.2.1 Confirming a clear meaning
364(1)
4.2.2 Role of 'confirming' when preparatory work contradicts meaning afforded by application of general rule
366(1)
4.2.3 Using supplementary means to confirm 'intention'
373(1)
4.2.4 Using supplementary means to 'reinforce' an interpretation
375(1)
4.2.5 Using preparatory work as general support
376(1)
4.2.6 Reciting and using preparatory work contrasted
376(1)
4.3 Determining meaning
377(1)
4.3.1 Qualifying conditions: 'ambiguous or obscure' or 'manifestly absurd or unreasonable'
377(1)
4.3.2 Ambiguous by reference to availability of another word having one of the claimed meanings
381(1)
4.4 Modalities of use of supplementary means
382(1)
4.4.1 Using and construing preparatory work
382(1)
4.4.2 Reading preparatory work to show agreement to exclude
385(1)
4.4.3 Deduction from absence from preparatory work
389(1)
4.4.4 Change of word or words during negotiation of treaty
391(1)
4.4.5 Exclusion of preparatory work from consideration
391(1)
4.4.6 May preparatory work be deployed as context?
393(1)
4.4.7 Using preparatory work to identify or confirm object and purpose
394(1)
4.4.8 Effect of interpretation recorded in preparatory work
395(1)
4.4.9 Reading preparatory work in combination with other supplementary means
397(1)
4.5 Circumstances of conclusion and other supplementary means
398(1)
4.5.1 Meaning of 'circumstances of conclusion'
398(1)
4.5.2 Comparison with provisions in other treaties or associated material as a circumstance of conclusion
400(1)
4.5.3 Commentaries, explanatory reports, academic writing, etc
401(1)
4.5.4 Other supplementary means
404(5)
5 Conclusions
409(4)
C Languages
9 Languages
413(38)
1 Introduction
413(1)
2 History and Preparatory Work
414(5)
3 Ordinary Meaning of Terms in Article 33
419(1)
4 Issues and Practice
420(27)
4.1 Interpretation by reference first to only one of several languages
420(1)
4.2 Use of 'versions', 'official', and other texts
421(2)
4.3 Presumption of the same meaning in all authentic texts
423(1)
4.4 How many languages must be considered if there is a need to reconcile texts?
424(2)
4.5 Is the 'original' language of a treaty particularly significant for interpretation?
426(3)
4.6 Translation of terms and legal concepts in different languages
429(6)
4.7 Reconciliation where one or more texts are clear but another is ambiguous
435(5)
4.8 Different punctuation in different languages
440(2)
4.9 Reconciliation of language differences by reference to object and purpose
442(4)
4.10 Using preparatory work in reconciling differences between languages
446(1)
5 Conclusions
447(4)
Part III. Conclusion
10 Criticism, Themes, Issues, and Conclusions
451(46)
1 The notion of 'rules' of interpretation
453(4)
1.1 Reviewing 'interpretation'
453(1)
1.2 What can 'rules' achieve?
454(3)
2 Ambiguity and vagueness distinguished
457(3)
3 'Textual', 'teleological', 'seeking intention', and other approaches
460(7)
3.1 'Textual' does not mean 'literal' and is an unhelpful label
463(1)
3.2 'Teleological' is not warranted as a description of the general approach
464(1)
3.3 Seeking intention
465(2)
4 Evolutionary Interpretation
467(7)
4.1 The International Court of Justice
468(3)
4.2 The European Court of Human Rights
471(3)
5 Particular Regimes
474(9)
5.1 International Human Rights Law
474(5)
5.2 International Criminal Law
479(4)
6 Inconsistent Interpretations
483(12)
6.1 Is there always a single interpretation that is correct?
483(3)
6.2 Divergence over the same terms or from preparatory work: investment disputes
486(9)
6.2.1 Meaning of 'investment'
487(4)
6.2.2 'Umbrella' clauses
491(1)
6.2.3 Most Favoured Nation' clauses
492(3)
7 Conclusion
495(2)
Bibliography 497(14)
Index 511
Richard Gardiner practiced as a barrister, was a legal adviser at the Foreign and Commonwealth Office, and is a Visiting Professor at University College London.