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Jus Cogens
E LE M E NTS O F INTERNAT IO NAL LAW
Series Editors
Mark Janis is William F. Starr Professor of Law at the
University of Connecticut.
Douglas Guilfoyle is Associate Professor of International and
Security Law at UNSW Canberra.
Stephan Schill is Professor of International and Economic Law and
Governance at the University of Amsterdam.
Bruno Simma is Professor of Law at the University of Michigan and a
Judge at the Iran-US Claims Tribunal in The Hague.
Kimberley Trapp is Professor of Public International Law at
University College London.
1
3
Great Clarendon Street, Oxford, OX2 6DP,
United Kingdom
Oxford University Press is a department of the University of Oxford.
It furthers the University’s objective of excellence in research, scholarship,
and education by publishing worldwide. Oxford is a registered trade mark of
Oxford University Press in the UK and in certain other countries
© Dinah Shelton 2021
The moral rights of the author have been asserted
First Edition published in 2021
Impression: 1
All rights reserved. No part of this publication may be reproduced, stored in
a retrieval system, or transmitted, in any form or by any means, without the
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Crown copyright material is reproduced under Class Licence
Number C01P0000148 with the permission of OPSI
and the Queen’s Printer for Scotland
Published in the United States of America by Oxford University Press
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Library of Congress Control Number: 2020945210
ISBN 978–0–19–886595–7 (hbk.)
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Links to third party websites are provided by Oxford in good faith and
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Series Editors’ Preface
filled ably by doctoral theses, nor include works which take an argumenta-
tive point of view, already well done by the OUP Monograph series. Except
in length and integration, Elements is for substantive topics comparable
to OUP’s Commentary series on individual treaties: a highly reliable, ob-
jective, in-depth, and readable account of its subject.
Each book in Elements is exhaustively footnoted in respect of inter-
national legal practice and scholarship, e.g., treaties, diplomatic practice,
decisions by international and municipal courts and arbitral tribunals,
resolutions and acts of international organizations, and commentary by the
most authoritative jurists. Elements adopts an objective, non-argumentative
approach to its many subject matters and constitutes a reliable go-to source
for practicing international lawyers, judges and arbitrators, government
and military lawyers, and scholars, teachers, and students engaged in the
discipline of international law.
All of us committed to Elements –authors, editors, publishers –hope that
our series will make a real difference to international law and to the rule of
law. We are so delighted to have Professor Shelton’s Jus Cogens as one of our
earliest books in the series. Not only because of its accomplished author, but
because jus cogens is both one of the more difficult-to-understand concepts
in our discipline and one of the most important, laying a foundation for the
other norms of International Law. I am sure you will find Professor Shelton’s
book to be an important guide to understanding this concept in depth.
Mark Janis
Editor-in-Chief, Editorial Board,
Elements of International Law
William F Starr Professor of Law,
University of Connecticut
31 August 2020
Hartford, Connecticut
Preface
This book has been a long time in preparation, especially considering the
many years of teaching international law and thinking about its sources.
I have previously written about the topic of jus cogens, including in the
Netherlands Yearbook of International Law, 2015, and the American Journal
of International Law, among others. Inevitably, some of the basics of this
volume draw upon those earlier publications. I have listed these in full
below and am grateful for and wish to acknowledge them here.
I am also very appreciative of Mark Janis’s invitation to embark on the
work of writing this work as part of the series Elements of International Law.
Undertaking the study has required me to update my previous writings and
to follow closely the recent work of the UN International Law Commission
on the topic. I hope I have done justice to the excellent reports of its special
rapporteur, Mr Dire Tladi, on peremptory norms of general international
law (jus cogens). There are many new elements in his four reports and the
responses to them from states and other members of the ILC. I hope they
are all adequately treated herein. Any errors are entirely my responsibility,
of course.
As is always the case with my research and writing, I owe an enormous
debt of gratitude to the law librarians at the George Washington University
Law School. They are always unfailing in their expertise and assistance.
Thanks also to OUP and Newgen for its work on editing and publishing this
work.
List of Abbreviations xi
1. Introduction 1
5. State Practice 36
5.1 Treaty Practice, Votes, and Official Statements in
International Organizations 36
5.2 International Jurisprudence 47
a. Jurisprudence of international courts and tribunals 48
b. Jurisprudence of regional courts and tribunals 62
5.3 National Legislation and Jurisprudence 70
5.4 Other Candidates Considered 76
x Table of Contents
6. Jus Cogens in Recent Legal Scholarship 86
References 109
Index 119
List of Abbreviations
Publicists have long sought to develop a theory that would serve to constrain
the claimed unlimited State discretion, in the exercise of sovereignty, to ac-
cept or reject an international treaty norm or developing customary inter-
national law. The doctrine of peremptory norms (jus cogens) is the primary
theory developed in this effort. Notably, however, the norms most often
cited as jus cogens have been universally accepted as customary international
law or are contained in treaties adhered to by all or nearly all States. Breach of
any such norm is a violation of international law; calling the norm jus cogens
seems to add little—unless the consequences of violating such norms are en-
hanced or differ in other ways from breaches of ‘normal’ international law.
On the positive side, however, it may be speculated that at least some
support for the development of international criminal law has been based
in the desire to limit the ability to opt out of particularly important inter-
national norms. In practice, it seems that each lawyer, scholar, and judge
brings a particular vision to the issue of identifying what are the important
or essential international norms that States should be unable to opt out of
or reject. In fact, the content of jus cogens involve considerable subjectivity.
Nonetheless, this does not diminish the value of jus cogens as a represen-
tation of the idea that there is an international society with core values. In
the end, belief that jus cogens exists may be its most important attribute, en-
suring that it has some, albeit ill-defined impact.
Available evidence suggests that international jus cogens originated as
a construct of writers, in this case in the efforts of early publicists to ex-
plain an emerging legal system governing sovereign states, where rulers
often claimed absolute power unrestrained by law.1 Scholars sought to
* This chapter draws upon materials published in: Dinah Shelton, ‘Sherlock Holmes and the
mystery of jus cogens’, 46 Netherlands Yearbook of International Law, (2015) 23–50. Reprinted
with permission. Dinah Shelton, ‘International Law and “Relative Normativity”’ in M.D Evans
(ed.), International Law, (4th edn, OUP 2014) 137–166.
1 For historical development of jus cogens, see, A.G. Robledo, 1982a, El ius cogens
internacional (Mexico, Universidad Nacional Autónoma de México); and A.G. Robledo, 1982b,
‘Le ius cogens international: Sa genese, sa nature, ses fonctions’, 172 Recueil des Cours, 10–68.
2 Introduction
understand the nature and source of obligations that could limit the power
of governments internally and internationally, binding them to a set of
legal norms to which they did not necessarily express consent.2 Finding the
source of such international obligations became a perpetual quest.
Early writers also foresaw problems of hierarchy that would surface
with the emergence of conflicting obligations. In attempting to propound
a coherent legal system, they turned to analogies from private law, general
principles, legal theory, moral and legal philosophy, and religion. They de-
veloped the notion of a ‘higher’ law, from which the doctrine jus cogens
emerged. Since then, proponents have argued strongly for the existence
and functions of jus cogens in international law, while critics have expressed
scepticism about the reality or practical value of the concept.3
The only references to peremptory norms in positive law are found in the
Vienna conventions on the law of treaties,4 further discussed in section 2.3.
Article 53 of the 1969 Vienna Convention on the Law of Treaties (VCLT),
concerning treaties between States, provides that a treaty will be void ‘if,
at the time of its conclusion, it conflicts with a peremptory norm of gen-
eral international law’. The 1986 Convention on Treaties between States
and International Organizations or between International Organizations
is similar in content. Anticipating the VCLT provisions are the writings of
classic and modern publicists proposing various sources and functions of
jus cogens, as discussed in the chapters that follow. They reveal the cultural
importance of jus cogens, but also the very limited role it plays in dispute
settlement or enforcement of norms.
2 For a discussion of early attempts to ascertain limits on the exercise of sovereignty, see
(referring to ‘the vagueness, the elasticity, and the dangers of the concept of international
jus cogens’); J. Sztucki, 1974, Jus cogens and the Vienna Convention on the Law of Treaties
(Vienna, Springer); G.A. Christenson, 1988, ‘Jus cogens: Guarding interests fundamental to
international society’, 28 Virginia J. Int’l Law, 585–648; G. Danilenko, 1991, ‘International jus
cogens: Issues of law-making’, 2 Eur. J. Int’l Law, 42–65; M. Weisburd, 1995, ‘The emptiness of
the concept of jus cogens, as illustrated by the war in Bosnia-Herzegovina’, 17 Michigan J. Int’l
Law, 1–51.
4 Vienna Convention on the Law of Treaties, 1155 UNTS 331; 1986 Vienna Convention on
the Law of Treaties between States and International Organizations or between International
Organizations, UN Doc. A/CONF.129/15.
2
The Origins and Sources
of Jus Cogens*
* This chapter draws upon materials published in: Dinah Shelton, ‘Sherlock Holmes and the
mystery of jus cogens’, 46 Netherlands Yearbook of International Law, (2015) 23–50. Reprinted
with permission. Dinah Shelton, ‘International Law and “Relative Normativity”’ in M.D Evans
(ed.), International Law, (4th edn, OUP 2014) 137–166.
1 For a history of this doctrinal development, see A.G. Robledo, 1982, El ius cogens
internacional (Mexico, Universidad Nacional Autónoma de México); and A.G. Robledo, 1982,
‘Le ius cogens international: Sa genese, sa nature, ses fonctions’, 172 Recueil des Cours, 10–68.
2 The earliest evidence of treaty practice indicates that the entirety of international obliga-
tion was perceived to originate in divine mandates, and any trespass of borders or subjugation
of one country by another was regarded as a violation of the divine established order and a
grave offence which could lead to immediate sanction by the gods of the breaching party. See
A. Amnon, 2012, Tracing the Earliest Recorded Concepts of International Law: The Ancient Near
East (2500–330 BC) (Leiden, Martinus Nijhoff).
3 A. Gentili, 1933, De iure belli libri tres (Oxford, Clarendon Press; London, H. Milford).
4 The Origins and Sources of Jus Cogens
connected natural law to the law of nations, influencing Grotius who gave
primary place to natural law, even over divine law: ‘The law of nature, again,
is unchangeable—even in the sense that it cannot be changed by God.
Measureless as is the power of God, nevertheless it can be said that there are
certain things over which that power does not extend.’4 If such principles
of natural law were unchangeable even by God, they necessarily bound all
sovereigns on earth: ‘Since this law is not subject to change and the obli-
gations which it imposes are necessary and indispensable, Nations cannot
alter it by agreement, nor individually or mutually release themselves from
it.’5 So, while voluntary or consent-based law could be created by the ex-
press or tacit will of states, such law could not override natural law.
Wolff6 and Vattel7 agreed that there existed ‘necessary law’ by which they
meant it was binding and overriding of state consent. This law was natural
to all states and made illegal all treaties and customs which contravened this
necessary law. Wolff ’s necessary law of nations8 included the immutable
laws of justice, the ‘sacred law’, which nations and sovereigns are bound to
respect and follow in all their actions.9 Pufendorf10 and Vattel also relied
on natural law ‘no less binding on states, on men united in political society,
than on individuals’.11 They saw the natural law of nations as a particular
science, ‘consisting in a just and rational application of the law of nature to
the affairs and conduct of nations or sovereigns’.12 The distinction between
jus dispositivum and the ‘necessary principles of international law that bind
all states regardless of consent’ lies in the origin of the latter in the natural
law of reason:
4 H. Grotius, 1625, On the Law of War and Peace (De jure belli ac pacis libri tres) (1646 edn
understanding the law of nations] (transl. by J.H. Drake, S.J. Brown, ed., London, Clarendon
Press), para. 5.
7 E. de Vattel, 1758, Le droit des gens ou principes de la loi naturelle (London, Neuchâtel),
para. 9.
8 J. Chitty, 1849, ‘Preface’, in E. de Vattel (ed.), The Law of Nations; Or Principles of the Law
of Nature Applied to the Conduct and Affairs of Nations and Sovereigns (transl. and intro. by J.
Chitty, 7th Am. edn, Philadelphia, T. & J.W. Johnson Law Booksellers), at ix (citing C. Wolff,
1764), ‘[T]he law of nations certainly belongs to the law of nature: it is, therefore, on account of
its origin, called the Natural, and, by reason of its obligatory force, the necessary law of nations.’
9 Ibid., at xiii.
10 S. Pufendorf, 1710, Of law of Nature and Nations (Oxford, L. Lichfield, for A. &
We use the term necessary Law of Nations for that law which results from
applying the natural law to Nations. It is necessary, because Nations are
absolutely bound to observe it . . . This same law is called by Grotius and
his followers the internal Law of Nations, inasmuch as it is binding upon
the conscience of Nations . . . It is by the application of this principle that
a distinction can be made between lawful and unlawful treaties or con-
ventions and between customs which are innocent and reasonable and
those which are unjust and deserving of condemnation.13
Suy claims that the actual words jus cogens are not found in any text prior
to the nineteenth century,14 although the idea of a law binding irrespective
of the will of individual parties is common through ‘the whole theory and
philosophy of law’.15 Early twentieth-century publicists, such as Lassa
Oppenheim and William Hall, continued to assert that states could not ab-
rogate certain ‘universally recognized principles’ by mutual agreement.16
The rise of positivism reduced although it did not entirely eliminate natural
law from theoretical discourse.
necessary, with primacy over others.18 Jus cogens in international law there-
fore starts to appear in positive law as international society develops from
relatively unorganized into an increasingly organized one with common
interests and values.19
The existence of an international legal system means that public policy
requires states to conform to those principles whose non-observance
would render illusory the very concept of an international society of states
or the concept of international law itself, such as the principles of sovereign
equality and pacta sunt servanda. Public policy—ordre public—may be de-
fined by its effects, that is, the impossibility for individuals of opting out,
or by its objective: to protect the essential interest of the state and establish
the legal foundations of the economic and moral order of the society.20 This
implies limiting the will of the individual to meet the essential needs of the
community.
According to Tomuschat, such a society of fundamental principles has
emerged gradually in international relations:
[t]he fact is that the cohesive legal bonds tying States to one another
have considerably strengthened since the coming into force of the
United Nations Charter; . . . a community model of international society
would seem to come closer to reality than at any time before in history.21
States live within a legal framework of a few basic rules that nonetheless
allow them considerable freedom of action. Such a framework has become
necessary in the light of global problems threatening human survival in
an unprecedented fashion. Recalcitrant states would not only profit by re-
jecting regulatory regimes adopted by the overwhelming majority of states,
they would also threaten the effectiveness of such regimes and pose risks to
all humanity.22
18 Carnegie Endowment for International Peace, The Concept of Jus Cogens in International
mercial fish stocks, destruction of the stratospheric ozone layer, and anthropogenic climate
change, has produced growing concern about the ‘free rider’, the holdout state that benefits
from legal regulation accepted by others while enhancing its own profits through continued
utilization of the resource or by ongoing production and sale of banned substances.
General Principles of Law 7
In this public order theory, jus cogens norms exist as imperative and hier-
archically superior to other international law in order to promote the inter-
ests of the international community as a whole and preserve core values.
According to von Verdross, this is inherent in all legal systems: ‘A truly real-
istic analysis of the law shows us that every positive juridical order has its
roots in the ethics of a certain community, that it cannot be understood
apart from its moral basis.’23 As a consequence, the principle of immoral
agreements is recognized in every national legal order. In his third report
on the law of treaties in 1958, rapporteur Fitzmaurice appeared to see jus
cogens from the public order perspective, as he asserted that rules of jus
cogens ‘possess a common characteristic’, namely ‘that they involve not only
legal rules but considerations of morals and of international good order’.24
An international tribunal might refuse to recognize a treaty or to apply it
where the treaty ‘is clearly contrary to humanity, good morals, or to inter-
national good order or the recognized ethics of international behaviour’.25
The origin of jus cogens would thus seem to lie in the sociology or logic of
law which requires compliance with essential rules on which the system it-
self is based; it does not, however, indicate the process by which such rules
may be identified on the international level.
Garner’s report on “The Law of Treaties” ’, 31 Am. J. Int’l Law, 571–577, at 574–576.
24 G.G. Fitzmaurice, Special Rapporteur, Third report on the law of treaties, 10th sess. of the
expression in one way or another in all legal systems’.27 Like many authors,
the Study Group pointed to the Roman law distinction between jus cogens
or jus strictum and jus dispositivum and the maxim jus publicum privatorum
pactis mutari non potest.28
Domestic laws generally provide for the invalidity of agreements that
conflict with public policy or ordre public. German authors writing in the
early 1930s referred to jus cogens as general principles of law which are rec-
ognized as overriding norms by all civilized nations.29 For some French
scholars, humanitarian rules also belong to general principles of law from
which no derogation is possible.30 In Lauterpacht’s view, the illegality of the
object of the treaty and consequently the nullity of the agreement would
result from ‘inconsistency with such overriding principles of international
law which may be regarded as constituting principles of international public
policy (ordre international public)’.31 These principles need not necessarily
be codified or crystallized. Lauterpacht asserts that ‘overriding principles
of international law’, such as the suppression of slavery, ‘may be regarded
as constituting principles of international public policy (ordre international
public). These principles . . . may be expressive of rules of international mor-
ality so cogent that an international tribunal would consider them forming
a part of those principles of law generally recognized by civilized nations
which the ICJ is bound to apply [under] its Statute’.32
In McNair’s classic work on the law of treaties, the author found it ‘diffi-
cult to imagine any society, whether of individuals or of States whose law
sets no limit whatever to freedom of contract’.33 Every civilized community
from the diversification and expansion of international law, Report of the Study Group of the
International Law Commission, 58th Sess., UN Doc. A/CN.4/L.682, 13 April 2006, at 181.
28 Ibid., 182. Jus publicum was not only public law, but all rules are important to the society.
29 F.A. von der Heydte, 1932, ‘Die Erscheinungsformen des Zwischenstaatlichen Rechts: jus
cogens und jus dispositivum im Volkerrecht’, 16 Zeitschrift für Völkerrecht, 461–487. The au-
thor cited, in particular, the rules indispensable and necessary to the existence of every legal
order, e.g. pacta sunt servanda and the obligation to make reparation for damages.
30 L. Delbez, 1964, Les principes generaux du droit international public (3rd edn, Paris,
Pichon et Durand-Auzias), pp. 317–318. ‘The object of a treaty is unlawful when the obliga-
tions it contains are contrary to prior conventional obligations, rules of customary law or rules
based on universal morality of an imperative character.’ See also L. Cavare, 1962, Droit inter-
national public positif (2nd edn, Paris, Pedone), p. 69 (agreements cannot be contrary to ‘le
droit commun de l’humanite’); and P. Reuter, 1961, ‘Principes de droit international public’,
103 Recueil des Cours, Hague Academy Int’l Law,425–655, at 466–467.
31 H. Lauterpacht, Special Rapporteur, Report on the law of treaties, UN Doc. A/CN.4/63,
24 March 1953.
32 Ibid., para. 4.
33 A.D. McNair, 1961, Law of Treaties (Oxford, Clarendon Press), pp. 213–214.
Consent 9
2.4 Consent
In the nineteenth century, a notion of international law emerged that was
based strictly on the consent of states.35 Nevertheless authors from the be-
ginning of the twentieth century continued to assert the existence of fun-
damental norms (Grundnorms)36 sometimes founded on la solidarité
naturelle,37 but more often contending that states themselves had recog-
nized peremptory norms and their effect in customary international law.
Oppenheim stated in 1905 that in his view ‘a number of “universally rec-
ognised principles” of international law existed which rendered any con-
flicting treaty void and that the peremptory effect of such principles was
itself a unanimously recognized customary rule of international law’.38
Similarly, Hall stated that:
34 Ibid., p. 215.
35 ‘Les règles de droit international n’ont pas un caractère imperatif. Le droit international
admet en conséquence qu’un traité peut avoir n’importe quel contenu’, P. Guggenheim, 1953,
Traité de droit international public (Genf, Georg), pp. 57–58. See also G. Morelli, 1951, Nozioni
di diritto internazionale (Padova, CEDAM), p. 37; The Case of the S.S. Lotus, PCIJ, Judgment 9
of 7 September 1927, at 18.
36 H. Kelsen, 1945, General Theory of Law and State (Cambridge, Harvard University Press),
Scelle, 1948, Cours de droit international public (Paris Dormat-Montchrestien), pp. 5 ff.
38 Oppenheim (n 16), p. 528.
10 The Origins and Sources of Jus Cogens
undisputed applications, and with the arbitrary usages which have ac-
quired decisive authority.39
In 1934, Judge Schücking asserted that the League of Nations would not
have embarked on the codification of international law ‘if it were not pos-
sible to create jus cogens, the effect of which would be that, once States have
agreed on certain rules of law, and have also given an undertaking that these
rules may not be altered by some only of their number, any act adopted in
contravention of that undertaking would be automatically void’.40
A strictly voluntarist view of international law rejects the notion that a
state may be bound to an international legal rule without its consent and
thus does not recognize a collective interest that is capable of overriding the
will of an individual member of the society. States are deemed to construct
the corpus of international law either through agreements or through re-
peated practice out of a sense of legal obligation.41 The Permanent Court
of International Justice (PCIJ), in one of its first decisions, stated that ‘[t]he
rules of law binding upon States . . . emanate from their own free will as ex-
pressed in conventions or by usages generally accepted as expressing prin-
ciples of law’.42 As recently as 1986, the ICJ reaffirmed this approach in
respect to the acquisition of weaponry by states. In the Nicaragua judgment
the Court stated:
In international law there are no rules, other than such rules as may be
accepted by the State concerned, by treaty or otherwise, whereby the
level of armaments of a sovereign State can be limited, and this principle
is valid for all States without exception.43
Some legal theorists have long objected that the source of international ob-
ligation cannot lie in consent, but must be based on a prior, fundamental
norm that imposes a duty to comply with obligations freely accepted
Cours, 9–416, at 45; P. Weil, 1983, ‘Towards relative normativity in international law?’, 77 Am.
J. Int’l L., 413–442; G. Danilenko, 1991, ‘International jus cogens: Issues of law-making’, 2 Eur.
J. Int’l Law 42–65, at 42; I.I. Lukashuk, 1989, ‘The principle pacta sunt servanda and the nature
of obligation under international law’, 83 Am. J. Int’l Law, 513–518.
42 Lotus, Judgment No. 9, 1927, PCIJ, Ser A, No. 10, at 18.
43 Military and Paramilitary Activities in and against Nicaragua (Nicaragua v United States
44 See ch. 1.
45 M.N. Shaw, 2008, International Law (5th edn, Cambridge, Cambridge University Press),
p. 97: ‘[O]nly rules based on custom or treaties may form the foundation of jus cogens norms.’
46 See, e.g. M. Byers, 1997, ‘Conceptualizing the relationship between jus cogens and erga
omnes rules’, 66 Nordic J. Int’l Law, 211–239, at 212 (jus cogens rules are derived from the pro-
cess of customary international law).
47 Questions Relating to the Obligation to Prosecute or Extradite (Belgium v Senegal), ICJ,
Restatement cites the UN Conference on the Law of Treaties, Report of the proceedings of the
Committee of the Whole, UN Doc. A/CONF.39/11, 21 May 1968, at 471–472 (comments of
the chairman).
49 See J. Sztucki, 1974, Jus cogens and the Vienna Convention on the Law of Treaties (Vienna,
Springer), p. 97.
12 The Origins and Sources of Jus Cogens
reconcile peremptory norms that bind dissenting states with the positivist
theory of international law.50
The extent to which the system has moved and may still move towards
the imposition of global public policy on non-consenting states remains
highly debated, but the need for limits on state freedom of action seems
to be increasingly recognized. International legal instruments and doc-
trine now often refer to the ‘common interest of humanity’51 or ‘common
concern of mankind’ to identify broad concerns that could form part of
international public policy. References are also more frequent to ‘the inter-
national community’ as an entity or authority of collective action.52 In add-
ition, multilateral international agreements increasingly contain provisions
that affect non-party states, either providing incentives to adhere to the
norms, or allowing parties to take coercive measures that in practice re-
quire conforming behaviour of states not adhering to the treaty. The UN
Charter itself contains a list of fundamental principles and in Article 2(6)
asserts that these may be imposed on non-parties if necessary to ensure
international peace and security.
It should be noted that the problem of dissenting states is not as wide-
spread as might be assumed. First, the obligations deemed basic to the
international community—to refrain from the use of force against another
state, to peacefully settle disputes, and to respect human rights, funda-
mental freedoms, and self-determination—are conventional obligations
contained in the UN Charter, to which all member states have consented.
All states have accepted the humanitarian conventions on the laws of war
which express customary international law. The multilateral regimes for
the oceans, outer space, and key components of the environment (climate
change, protection of the ozone layer, and biological diversity) are widely
accepted. Thus in most cases the problem is one of ensuring compliance by
states that have freely consented to the obligations in question and not one
of imposing obligations on dissenting states.
50 See ibid., p. 64. ‘[T]he introduction of a consensual ingredient into the concept of jus
cogens leads inevitably, in the ultimate instance, to the very negation of that concept.’ See also
Siderman de Blake v Republic of Argentina, 965 F.2d 699, 715 (9th Cir. 1992) (stating that jus
cogens norms ‘transcend . . . consent’).
51 See, UNCLOS, Art. 137(2); Treaty on Principles Governing the Activities of States in the
Exploration and Use of Outer Space, Including the Moon and Other Celestial Bodies (1967),
pmbl., para. 2.
52 See, e.g. Art. 53, VCLT; Arts 136–137 UNCLOS.
3
The Law of Treaties*
* This chapter draws upon materials published in: Dinah Shelton, ‘Sherlock Holmes and the
mystery of jus cogens’, 46 Netherlands Yearbook of International Law, (2015) 23–50. Reprinted
with permission. Dinah Shelton, ‘International Law and “Relative Normativity”’ in M.D Evans
(ed.), International Law, (4th edn, OUP 2014) 137–166.
1 A/CN.4/114; see 1958 Yearbook of the International Law Commission Vol. II: Documents of
the Tenth Session including the Report of the Commission to the General Assembly, at 26–27.
2 J.L. Brierly, 1936, ‘Régles générales de droit de la paix’, 58 Recueil des Cours, 5–242, at 218–219.
3 H. Lauterpacht, 1937, ‘Régles générales de droit de la paix’, 62 Recueil des Cours, 95–422,
at 153ff.
4 Ibid., at 306–307.
5 J.L. Brierly, Special Rapporteur, Report on the law of treaties, UN Doc. A/CN.4/23, 14
March 1953.
14 The Law of Treaties
In the ILC report submitted to the Vienna Conference on the Law of Treaties,
the ILC stated that it had become increasingly difficult to sustain the propos-
ition that there is no rule of international law from which states cannot at their
own free will derogate.8 The law of treaties thus must accept that there are cer-
tain rules from which states are not competent to withdraw, and which may
be changed only by another rule of the same character.9 The ILC also stated
that although there is no simple criterion by which to identify a general rule of
international law as having the character of jus cogens, the particular nature of
the subject matter with which it deals may give it the character of jus cogens.10
Article 53 VCLT, concerning treaties between states, provides that a
treaty will be void ‘if, at the time of its conclusion, it conflicts with a per-
emptory norm of general international law’. Such a norm is defined by the
VCLT as one ‘accepted and recognized by the international community
of states as a whole as a norm from which no derogation is permitted and
which can be modified only by a subsequent norm having the same char-
acter’. Article 64 adds that the emergence of a new peremptory norm of gen-
eral international law will render void any existing treaty in conflict with
the norm. No clear agreement was reached during the VCLT negotiations
nor has one emerged since then about the content of jus cogens.
The final version of Article 53 VCLT11 was adopted by a majority of 87
votes in favour, with 8 votes against,12 and 12 abstentions.13 Because of this
division, and the specific formulation of the article, René Jean Dupuy, in
7 Ibid., para. 5.
8 International Law Commission, Report of the International Law Commission on the
work of the second part of its 17th sess., 17th sess. of the ICL, UN Doc. A/6309/Rev.1, 3–28
January 1966, at 247 ff.
9 Ibid.
10 Ibid.
11 The draft article was adopted at the Vienna Conference largely as suggested, save for the
addition of the words ‘accepted and recognised by the international community of States as a
whole’. UN Conference on the Law of Treaties, Summary records of the plenary meeting and of
the meetings of the Committee of the Whole, 1st Sess., A/CONF.39/11, 1968, at 471.
12 Australia, Belgium, France, Liechtenstein, Luxembourg, Monaco, Switzerland, and
Turkey. UN Conference on the Law of Treaties, Summary records of the plenary meeting and
of the meetings of the Committee of the Whole, 2nd Sess., A/CONF.39/11/Add.1, 12 May
1969, at 107.
13 New Zealand, Norway, Portugal, Senegal, South Africa, Tunisia, United Kingdom,
1966 a member of the Holy See’s delegation to the Vienna Conference, noted
that the inclusion of Article 53 in the VCLT sanctioned the ‘positivization of
international law’.14 Despite the majority being in favour of the VCLT with
Article 53 on jus cogens, the ILC decided to appoint a new rapporteur on the
topic in 2015. He noted in his first report that ‘the contours and legal effects
of jus cogens remain ill-defined and contentious’.15 He could also have re-
ported that there is very little case law invoking the concept to impeach the
validity of a treaty.
The second treaty on the law of treaties echoed the first one. The drafting
of the second treaty on treaties, the 1986 Vienna Convention on the Law
of Treaties between States and International Organizations, indicated con-
tinued controversy over the concept of norms jus cogens. The text proposed
by the ILC included provisions on jus cogens modelled after the 1969 VCLT.
The commentary called the prohibition of the illegal use of armed force
embodied in the UN Charter ‘the most reliable known example of a per-
emptory norm’ and also claimed that the notion of peremptory norms, as
embodied in VCLT Article 53, ‘had been recognized in public international
law before the Convention existed, but that instrument gave it both a pre-
cision and a substance which made the notion one of its essential provi-
sions’.16 The representative of France disagreed during the plenary drafting
session, expressing his government’s opposition to VCLT Article 53 ‘be-
cause it did not agree with the recognition that article gave to jus cogens’
while another government called jus cogens ‘still a highly controversial con-
cept which raised the fundamental question of how to recognize the scope
and content of a peremptory norm of general international law’, noting that
time had revealed ‘a divergence of views since 1969 regarding the nature of
norms of jus cogens, which it had not been possible to define’.17 The text of
the Convention was adopted by 67:1, with twenty-three states abstaining; it
14 See René-Jean Dupuy’s remarks at the meeting of the Committee of the Whole on 30
April 1968 (UN Conference on the Law of Treaties, 1st Sess. Vienna, 26 March–24 May 1968,
Official Records, Summary records of the plenary meetings of the Committee of the Whole, at
258, para. 74).
15 First Report of Mr. Dire D. Tladi, Special Rapporteur of the International Law
norms of international law apply to international organizations as well as to states, and this is
not surprising’. A/Conf.129/16/Add.1 (vol. II), pp. 39, 44.
17 United Nations Conference on the Law of Treaties between States and International
has yet to enter into force. Several states explained their abstention by refer-
ring to the articles concerning jus cogens, including the dispute settlement
provisions on the topic.18 Even some of those that favoured jus cogens ex-
pressed uncertainty. The representative of Brazil called jus cogens ‘a concept
in evolution’.19
1 Already in the 1966 Draft Articles, the Commission noted that the ‘view that there is no
rule of international law from which States cannot at their own free will contract out has be-
come increasingly difficult to sustain’. See paragraph 1 of the commentary to Draft Article 50
of the 1966 Draft Articles on the Law of Treaties. In paragraph 3 of the commentary to Draft
Article 50, the Commission stated that, at that point, it was appropriate to provide for the rule
in general terms ‘and to leave the full content of this rule to be worked out in State practice and
in the jurisprudence of international tribunals’. See Annex A of the Report of the International
Law Commission, 69th Sess. (A/69/10) at para. 3.
2 See, e.g. Military and Paramilitary Activities in and against Nicaragua (Nicaragua v
United States), ICJ Reports 1986, 14; Arrest Warrant of 11 April 2000 (DRC v Belgium) ICJ
Reports 2002, 3; Armed Activities on the Territory of the Congo (New Application 2002: DRC v
Rwanda), ICJ Reports 2006, 99; Jurisdictional Immunities of the State (Germany v Italy: Greece
Intervening), ICJ Reports 2012, 99. See especially the dissenting opinion of Judge Trindade in
the Jurisdictional Immunities of the State case, the joint separate opinions of Judges Higgins,
18 Recent Work of the International Law Commission
also referred to jus cogens in support of positions that they advance.3 The
Commission itself, in the course of considering other topics, has also made
contributions to this development. Article 26 of the Draft Articles on State
responsibility, for example, provides that circumstances precluding wrong-
fulness provided in the draft articles may not be used to justify conduct
that is inconsistent with jus cogens. The commentary thereto presents a
non-exhaustive list of jus cogens norms.4 In addition to repeating the list
contained in the commentary to Draft Article 26, the Report of the Study
Group on Fragmentation provides a list of ‘the most frequently cited candi-
dates’ for the status of jus cogens.5 The Commission’s Guide to Practice on
Reservations to Treaties also provides detailed analysis on the effects of jus
cogens on the permissibility and consequences of reservations.6
Kooijmans, and Buergenthal, and the dissenting opinions of Judges Oda, Al-Khasawneh, and
van den Wyngaert in the Arrest Warrant case. Al-Adsani v UK (Application No. 35763/97), 21
November 2001. See also the separate opinion of Judge ad hoc Lauterpacht in the Application
of the Convention on the Prevention and Punishment of the Crime of Genocide (Bosnia and
Herzegovina v Serbia and Montenegro), ICJ Reports 1993, p. 325 (Separate Opinion of Judge
Lauterpacht), paras 100–104 and Regina v Street Metropolitan Stipendiary Magistrate, ex parte
Pinochet Ugarte (No. 3), 24 March 1999, House of Lords, 119 ILR, p. 136.
Prosecute or Extradite (Belgium v Senegal), Oral Proceedings, 13 March 2012 (CR 2012/3),
para. 3 and statement by Counsel to Senegal in Questions Relating to the Obligation to
Prosecute or Extradite (Belgium v Senegal), Oral Proceedings, 15 March 2012 (CR 2012/
4), para. 39. See also Counter-Memorial of Senegal in Questions Relating to the Obligation
to Prosecute or Extradite (Belgium v Senegal), para. 51. Similarly, while Germany sought to
limit the effects of jus cogens in the Jurisdictional Immunities case, its own statement not only
did not dispute the existence of jus cogens but in fact positively asserted the character of cer-
tain norms as jus cogens. See, e.g. the Memorial of the Federal Republic of Germany in the
Jurisdiction Immunities case, 12 June 2009, para. 86 where Germany states: ‘Undoubtedly,
for instance, jus cogens prohibits genocide.’ See also Statement of South Africa of 29 October
2009 on the report of the International Law Commission (A/C.6/64/SR.15, paras 69–70) cited
in the second report of the Special Rapporteur, Mr Roman Kolodkin on Immunity of State
Officials from Foreign Criminal Jurisdiction, 10 June 2010 (A/CN.4/631), para. 9, especially
n. 13. On 28 October 2013, during the Sixth Committee’s consideration of the report of the
International Law Commission, Portugal highlighted jus cogens as of ‘utmost importance’
(A/C.6/68/SR.17), para. 88.
4 See paragraph 5 of the commentary to Draft Article 26 in which the Commission, in
fairly unequivocal terms, states that those ‘peremptory norms that are clearly accepted and
recognised include the prohibition of aggression, genocide, slavery, racial discrimination,
crimes against humanity and torture, and the right to self-determination’.
5 See paragraph 374 of Report of the Study Group of the International Law Commission
on Reservations to Treaties. See also Armed Activities on the Territory of the Congo (New
Application 2002: DRC v Rwanda) (Separate Opinion of Judge Dugard) (discussing the effect
The First Report 19
of reservations that violate jus cogens), para. 9. See also Principle 8 of the Guiding Principles
applicable to unilateral declarations of States capable of creating legal obligations, with com-
mentaries thereto, Yearbook of the International Law Commission, 2006, vol. II, Part Two.
7 A/CN.4/693, First Report of Mr Dire Tladi, SR on the topic of jus cogens. Annual Report
of the ILC, ORGA, 71st Sess., Supp. No. 10, UN Doc. A/71/10.
8 Ibid.
9 Ibid.
10 Ibid.
20 Recent Work of the International Law Commission
11 See second report of the SR, Mr Dire Tladi, on jus cogens, Doc. A/CN,4/706.
12 Report of the Commission on the work of its 69th Sess., Official Records of the General
Assembly, 72nd Sess., Supp. No. 10 (A/72/10), para. 146. Mr Cissé, however, had suggested
that the name of the topic be changed to ‘Identification of peremptory norms of international
law’ (A/CN.4/SR.3373). While Ms Oral agreed with the name change, she stated that the
phrase ‘general international law’ should not be understood as excluding norms under special-
ized regimes (ibid.).
13 Report of the Commission on the work of its 69th Sess., Official Records of the General
Assembly, 72nd Sess., Suppl. No. 10 (A/72/10), paras 162–210. See also, the Third Report,
para. 11.
14 Draft conclusion 5, para. 1, Second Report (n 13).
15 Draft conclusion 5, para. 4, ibid.
16 See section 5.2. For criticism of the report for reducing the value of treaties and gen-
eral principles of law in the formation of norms jus cogens, see the comments of members of
The Third Report 21
The emphasis on customary international law also clear in the next two
draft conclusions, which focus on opinio juris, requiring ‘an assessment of
the opinion of the international community of States as a whole’ (draft con-
clusion 6) and insisting that it is the attitude of States that is relevant; other
actors ‘may be relevant in providing context and assessing the attitude of
States’.17 Importantly, acceptance and recognition by ‘a large majority’ of
States is sufficient to identify a norm as one of jus cogens; universal accept-
ance and recognition is not needed.18
23 The notion that customary international law rules that conflict with norms of jus cogens
are invalid flows from the hierarchical superiority, reflected in the jurisprudence of national
and international courts. In Committee of United States Citizens Living in Nicaragua v Reagan,
the United States Court of Appeals for the District of Columbia observed that jus cogens norms
‘enjoy the highest status in international law and prevail over both customary international law
and treaties’. In the United Kingdom, the Queen’s Bench Division of the England and Wales
High Court of Justice in R (Mohamed) v Secretary of State for Foreign and Commonwealth
Affairs, also referred to the hierarchical superiority of jus cogens norms and, consequently, ‘that
derogation by States through treaties or rules of customary law not possessing the same status
[was] not permitted’. The Argentine Supreme Court has similarly stated that crimes against
humanity had the ‘character of jus cogens, meaning that [the prohibition is] above both treaty
law, but above all other sources of international law’. In the Kenya Section of the International
Commission of Jurists v Attorney-General, the Kenyan High Court stated that jus cogens norms
‘rendered void any other pre-emptory rules which come into conflict with them’. This sense
that norms of jus cogens take precedence over other customary international law has also been
affirmed in the jurisprudence of regional courts. In Al-Adsani, for example, the ECtHR de-
termined that jus cogens norms are those norms that enjoy ‘a higher rank in the international
hierarchy than treaty law and even “ordinary” customary rules’. Al-Adsani v United Kingdom,
joint dissenting opinion of Judges Rozakis and Caflisch (joined by Judges Wildhaber, Costa,
Cabral Barreto, and Vajić), para. 1. Al-Adsani v United Kingdom, joint dissenting opinion of
Judges Rozakis and Caflisch (joined by Judges Wildhaber, Costa, Cabral Barreto, and Vajić),
para. 1. Furthermore, in Belhas et al. v Moshe Ya’Alon, the United States Court of Appeals for
the District of Columbia described jus cogens norms as ‘norms so universally accepted that all
States are deemed to be bound by them under international law’. Furthermore, in Belhas et al.
v Moshe Ya’Alon, the United States Court of Appeals for the District of Columbia described jus
cogens norms as ‘norms so universally accepted that all States are deemed to be bound by them
under international law’. United States, Belhas et al. v Moshe Ya’Alon, 515 F.3d 1279 (DC Cir.
2008), at 1291–1292 (emphasis added). The IACtHR has similarly concluded that norms of
jus cogens ‘bind all States’. Advisory Opinion OC-18/03 of 17 September 2003 on the juridical
condition and rights of undocumented migrants, requested by the United Mexican States, Ser.
A, No. 18, paras 4–5. See also written statement of 19 June 1995 by the Government of Mexico
on the request for an advisory opinion submitted to the International Court of Justice by the
General Assembly at its 49th Sess. (resolution 49/75K), para. 7 (‘The norms . . . are of a legally
binding nature for all the States (jus cogens)’). See also Iran (Islamic Republic of) (A/C.6/68/
SR.26), para. 4 (‘the “persistent objector”, had no place in the formation of jus cogens’).
24 Ibid., para. 102.
The Third Report 23
conflict with a norm of jus cogens and then asserts that resolutions of inter-
governmental organizations do not create obligations for States if they con-
flict with a norm of jus cogens.25 This proposed conclusion, according to the
SR, is supported by ‘a significant amount of literature and public statements
of States’,26 as well as by decisions of domestic, regional, and international
courts. To the extent possible such resolutions should be interpreted in a
manner consistent with jus cogens norms.
Draft conclusion 18 is said to reflect virtually universal agreement that
jus cogens norms also establish erga omnes obligations.27 The remaining
draft conclusions address State responsibility and jus cogens norms.
Paragraph 1 of Draft conclusion 19 confirms that the circumstances pre-
cluding wrongfulness in the articles on State responsibility do not apply to
breaches of obligations arising from jus cogens norms. Draft conclusion 20
concerns an asserted duty to cooperate to bring to an end, by lawful means,
any serious breach of a jus cogens norm, defined as a breach that is either
gross or systematic. The SR finds support for this ‘well-established principle
of international law’ in the Wall Advisory Opinion28 of the ICJ as well as the
La Cantuta case29 decided by the Inter-American Court of Human Rights
(IACtHR).
Draft conclusion 20 continues in this vein, setting forth a duty not to
recognize as lawful a situation created by breach of a jus cogens norm and
a duty not to aid or assist in maintaining such a situation,30 as previously
affirmed by the ILC in the articles on State responsibility31 and the ICJ in
the Namibia32 and the Wall advisory opinions, as well as in UN resolutions.
Unlike draft conclusion 20, these duties apply even to breaches not deemed
‘serious’, because the duty of non-recognition arises based on the violation
of a peremptory norm and neither of the cited ICJ opinions had specified
seriousness as a requisite to the duty not to recognize or assist in a jus cogens
(South West Africa) notwithstanding Security Council Resolution 276 (1970) Advisory
Opinion, ICJ Reports 1971, p. 16 at p. 54, para. 119.
24 Recent Work of the International Law Commission
violation. Also, the duty of non-recognition did not require positive action,
warranting the lower threshold.
The remaining draft conclusions deal with crimes prohibited by jus
cogens norms, based on the ILC draft articles on crimes against humanity.33
The first of the draft conclusions in this section, number 23, concerns jur-
isdiction based on nationality, territory, or universality, although it is ac-
knowledged that the practice in this regard is not settled. The final draft
conclusion concerns the lack of immunity for commission of jus cogens
crimes. The report notes the criticism and conflicting State practice on this
issue, but points out that the conflicting cases are typically based on civil
proceedings and those brought against States. They are not meant to serve
as precedents for immunities in a criminal context, as reflected in the ICJ
judgment in the Jurisdictional Immunities of the State (Germany v Italy,
Greece intervening) case.34
The third report went well beyond the law of treaties and State respon-
sibility, in looking at the consequences of peremptory norms for States in
respect to international criminal law, customary international law, and
the law of international organizations, all of which have generated diver-
gent views in the literature, and concern for the practice problems that may
arise.35 The debate in the ILC also revealed considerable caution. Several
members referred to the dearth of relevant State practice and the com-
plexity of the issues involved.36 As much as possible, these members sought
to have the results of this study reflect existing law and established prac-
tice, especially in regard to the consequences of jus cogens on other sources
of international law.37 Specific issues were raised about the Rapporteur’s
proposal to eliminate the possibility of being a persistent objector to a rule
of jus cogens emerging from customary international law. Some members
felt the proposal did not reflect the complexity of the relationship between
the superior status of jus cogens norms and the principle of State consent.38
One key question concerned the appropriate result if a persistent objector
should raise objections before a norm is recognized as a jus cogens norm,
being expressed during the formative period.39
33Official Records of the General Assembly, 72nd Sess., Supp. No. 10 (A/72/10), para. 45.
34Jurisdictional Immunities of the State (Germany v Italy, Greece intervening), Judgment, ICJ
Reports 2012, p. 99, 130, and 141, paras 70 and 96.
35 Report of the ILC on its 70th sess. (n 19), para. 111.
36 Ibid., para. 112.
37 Ibid.
38 Ibid., para. 128.
39 Ibid., para. 129.
The Third Report 25
Tladi, Special Rapporteur, International Law Commission 71st Sess., Geneva, 29 April–7 June
and 8 July–9 August 2019 (A/CN.4/727) 31 January 2019, para. 5, n. 7. Mr Tladi noted that
strongly critical statements were made by Mr Zagaynov (A/CN.4/SR.3416); Mr Murphy (A/
CN.4/SR.3416); Mr Rajput (A/CN.4/SR.3418); Mr Huang (A/CN.4/SR.3419); Sir Michael
Wood (A/CN.4/SR.3421); and Mr Valencia-Ospina (A/CN.4/SR.3421). However, unlike other
critical members, Mr Valencia-Ospina’s criticism was not that the SR went too far, but, on the
contrary, that he did not go far enough. The SR added that Mr Nolte (A/CN.4/SR.3417), while
generally critical, was not as severe as the others.
44 Of the States that commented on the topic, the following were generally negative: China
Portugal (ibid.); Thailand (ibid.); Greece (A/C.6/73/SR.27 and statement of 30 October 2018);
Islamic Republic of Iran (A/C.6/73/SR.27); Malaysia (statement of 30 October 2018; see also
A/C.6/73/SR.27); Republic of Korea (A/C.6/73/SR.27 and statement of 30 October 2018).
States have long been concerned about how the Commission would, even-
tually, address the issue of regional jus cogens.53 During the debate on the
Commission’s report in 2018, several States commented on the matter and
debated whether regional peremptory norms could exist. Malaysia, for ex-
ample, noted that the concept of regional jus cogens ‘might . . . create con-
fusion and should therefore be avoided’.54 The United Kingdom said it
was ‘doubtful as to the utility of considering “regional” jus cogens’.55 In its
Armed Activities on the Territory of the Congo (judgment of the International Court of Justice);
Council of the European Union v Front populaire pour la libération de la sauguiael-hamra et du
rio de oro (Front Polisario); and the Oil Platforms case (ICJ).
52 He claimed that the work of the third report was based on the VCLT, Fourth Report
(n 43), at n. 31.
53 K. Gastorn, 2017, ‘Defining the imprecise contours of jus cogens in international law’, 16
FOOTNOTES:
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