Subsequent Agreements and Subsequent Practice in Domestic Courts

340 Pages·2017·4.46 MB·English

by  Katharina Berner (auth.)

Beiträge zum ausländischen
öffentlichen Recht und Völkerrecht
Begründet von Viktor Bruns
Herausgegeben von
Armin von Bogdandy · Anne Peters
Band 268
Katharina Berner
Subsequent Agreements and
Subsequent Practice in Domestic
Courts
ISSN 0172-4770 ISSN 2197-7135 (electronic)
Beiträge zum ausländischen öffentlichen Recht und Völkerrecht
ISBN 978-3-662-54936-0 ISBN 978-3-662-54937-7 (eBook)
https://doi.org/10.1007/978-3-662-54937-7
Library of Congress Control Number: 2017953943
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Preface
This work is based on my doctoral thesis, which was accepted at Humboldt-Univer-
sity Berlin in 2014. It is closely linked to a large-scale research project on ‘Treaties
and Subsequent Practice’. This project was funded by the German Research Foun-
dation (DFG) and contributed to a project of the United Nations’ International Law
Commission (ILC) on ‘Subsequent Agreements and Subsequent Practice in Rela-
tion to Interpretation of Treaties’ led by Special Rapporteur Georg Nolte.
The interrelationship between these projects generated valuable synergies. On
the one hand, the thesis informed part of the Special Rapporteur’s final report on
the topic. On the other hand, it profited from deep insights into the ILC’s work.
Being part of the Special Rapporteur’s research staff, I was fortunate to have had
the chance to substantially contribute to various stages of the ILC’s project and to
coordinate reports for the earlier ‘Study Group on Treaties over Time’.
An academic work may label one single author. However, it will always be the
product of many people: First of all, I wish to thank Professor Georg Nolte for
entrusting me with an ambitious and demanding position within the research project
on ‘Treaties and Subsequent Practice’ and for having supervised my doctoral thesis.
Professor Nolte continuously encouraged me to develop my own thoughts and ideas
and to always remain critical towards simplistic truths.
In addition to Professor Gerd Seidel, who gave the second review on my doc-
toral thesis, I am very grateful to Professor Janbernd Oebbecke and his staff at the
University of Muenster. During my undergraduate studies, they set an unparalleled
example of cordial, sincere, and sympathetic collegiality, which will inspire me
throughout my professional career.
I also gratefully acknowledge the support of the German Academic Scholarship
Foundation (Studienstiftung des deutschen Volkes). Its merit doctoral scholarship
did not only entail personal space and freedom for finishing my thesis but also
offered a stimulating academic environment.
V
VI Preface
Last but not least, I wish to express my deepest gratitude to my family for having
always been there when I needed them, to my friends for never letting me cease
laughing and singing during the tougher parts of my academic journey, and to Pro-
fessor Steffen Hindelang for his selfless academic advice and his unfaltering friend-
ship and support.
Contents
1 Introduction ................................................. 1
1.1 Preliminary Reflections upon Interpretative Power ............... 1
1.2 Current State of Research .................................. 6
1.3 Scope of this Study ....................................... 9
1.3.1 Treaty Interpretation ................................ 10
1.3.1.1 Treaties ................................... 10
1.3.1.2 Interpretation .............................. 11
1.3.2 Inter-State Level .................................... 14
1.3.2.1 Domestic Judiciaries ........................ 14
1.3.2.2 Accessibility and Reliability of Jurisprudence ..... 16
1.3.2.3 Sample Period ............................. 17
1.3.3 Intra-State Level .................................... 17
1.4 Outline and Methodology .................................. 19
Part I Subsequent Agreements and Subsequent Practice
2 The Origins of Subsequent Agreements and Subsequent Practice ..... 27
2.1 International Legal Doctrine ................................ 28
2.1.1 ‘Classical’ Writers .................................. 28
2.1.2 ‘Post-Classical’ Writers .............................. 30
2.1.3 State-Sponsored and Private Codification Efforts .......... 34
2.1.4 Conclusion ........................................ 40
2.2 Judicial Settlement of International Disputes ................... 41
2.2.1 Permanent Court of International Justice ................. 42
2.2.2 International Court of Justice .......................... 46
2.2.3 Conclusion ........................................ 52
2.3 Domestic Jurisprudence .................................... 53
2.3.1 Germany .......................................... 53
2.3.2 Switzerland ....................................... 55
2.3.3 United States of America ............................. 59
2.3.4 Conclusion ........................................ 63
VII
VIII Contents
3 Subsequent Agreements and Subsequent Practice in Context:
The 1969 VCLT ............................................. 65
3.1 Genesis of the Vienna Convention and its Rules of Interpretation ... 66
3.2 The Vienna Rules as a Reflection of Customary Law ............ 75
3.3 The Vienna Rules of Interpretation .......................... 80
3.3.1 The General Rule of Interpretation .................... 82
3.3.1.1 Ordinary and Special Meaning. . . . . . . . . . . . . . . . 83
3.3.1.2 Context .................................. 87
3.3.1.3 Object and Purpose ........................ 89
3.3.2 Supplementary Means of Interpretation ................ 90
3.3.3 Interpretation as a Single Combined Operation ........... 92
4 Subsequent Agreements and Subsequent Practice under
Articles 31 and 32 VCLT ..................................... 99
4.1 Relationship between Subsequent Agreements and
Subsequent Practice ...................................... 99
4.2 Subsequent Agreements under Article 31(3)(a) VCLT ........... 103
4.2.1 ‘Agreement’ ...................................... 103
4.2.1.1 Agreement and Treaties ..................... 104
4.2.1.2 Interpretative Treaties ....................... 105
4.2.1.3 The Form of Agreement ..................... 105
4.2.2 ‘Between the Parties’ ............................... 108
4.2.2.1 Who Are ‘the Parties’? ...................... 108
4.2.2.2 How Many Parties Are ‘the Parties’? ........... 112
4.2.3 The Object of the Agreement ......................... 113
4.2.3.1 Sole Purpose v Unintended Side-Effect ......... 113
4.2.3.2 Interpretation and Application Distinguished .... 114
4.2.3.3 Interpretation and Modification Distinguished ... 116
4.2.4 ‘Subsequent’ ..................................... 119
4.3 Subsequent Practice under Article 31(3)(b) VCLT .............. 121
4.3.1 Objective Components of Subsequent Practice ........... 121
4.3.1.1 What Constitutes ‘Practice’? ................. 121
4.3.1.2 Whose Practice Counts as ‘Practice’? .......... 125
4.3.1.3 ‘In the Application of the Treaty’ .............. 128
4.3.2 Subjective Components of Subsequent Practice .......... 129
4.3.2.1 The Agreement of the Parties ................. 129
4.3.2.2 Interpretation and Modification Distinguished ... 131
4.3.2.3 How to ‘Establish’ the Agreement? ............ 133
4.4 ‘Other’ Subsequent Conduct under Article 32 VCLT ............ 135
4.5 Conclusion ............................................. 137
Contents IX
Part II The Jurisprudence of Domestic Courts
5 Legal Status and Effects of Subsequent Agreements
and Subsequent Practice ..................................... 141
5.1 The Status of Subsequent Agreements and Subsequent Practice ... 141
5.1.1 Authentic Means of Interpretation ..................... 142
5.1.1.1 The Origins and Re-emergence of ‘Authentic
Interpretation’ ............................. 143
5.1.1.2 Authentic Interpretation in Domestic
Jurisprudence ............................. 147
5.1.2 Relative Weight in the Interpretative Process ............ 150
5.2 The Effects of Subsequent Agreements and Subsequent Practice ... 156
5.2.1 Extensive and Restrictive Interpretation ................ 156
5.2.1.1 Different Concepts of Extensive and Restrictive
Interpretation ............................. 157
5.2.1.2 Extensive and Restrictive Interpretation in
Domestic Jurisprudence ..................... 158
5.2.2 Dynamic and Static Interpretation ..................... 161
5.2.2.1 Defining and Qualifying Dynamic and Static
Interpretation ............................. 162
5.2.2.2 Dynamic and Static Interpretation in Domestic
Jurisprudence ............................. 164
5.3 Conclusion ............................................. 168
6 The Frequency of Subsequent Agreements ....................... 171
6.1 The Number of Parties to a Treaty ........................... 172
6.2 Solid Evidence of Subsequent Agreements .................... 174
6.3 Constitutional Impediments ................................ 179
6.3.1 Negative Impact on Parliamentary Participation Rights .... 179
6.3.1.1 Parliamentary Participation in Foreign Affairs
in Germany ............................... 180
6.3.1.2 Different Approaches to the Ratification
Requirement .............................. 182
6.3.1.2.1 Objective Approach ................ 182
6.3.1.2.2 Mixed Approach .................. 186
6.3.1.3 Parliamentary Participation and Subsequent
Practice in Other States ..................... 190
6.3.2 Legal Advantages over Other Means of Interpretation ..... 193
6.4 Conclusion ............................................. 196
7 Practice by Non-Party Entities ................................ 199
7.1 The Output of Treaty Bodies ............................... 200
7.1.1 The Interpretative Value of Treaty Body Output .......... 202
7.1.2 Treaty Body Output in the Jurisprudence of Domestic 
Courts ........................................... 206
7.1.3 Evaluation ....................................... 212