<b>Bijsluiter</b>. De hyperlink naar het originele document werkt niet meer. Daarom laat Woogle de tekst zien die in dat document stond. Deze tekst kan vreemde foutieve woorden of zinnen bevatten en de opmaak kan verdwenen of veranderd zijn. Dit komt door het zwartlakken van vertrouwelijke informatie of doordat de tekst niet digitaal beschikbaar was en dus ingescand en vervolgens via OCR weer ingelezen is. Voor het originele document, neem contact op met de Woo-contactpersoon van het bestuursorgaan.<br><br>====================================================================== Pagina 1 ======================================================================

<pre>                                                                     &KDSWHU,9
                                                     ',3/20$7,&3527(&7,21
                             $ ,QWURGXFWLRQ                                    Rapporteur for the topic,15 after Mr. Bennouna was
                                                                                 HOHFWHGMXGJHWRWKH,QWHUQDWLRQDO7ULEXQDOIRUWKHIRUPHU
 7KH&RPPLVVLRQDWLWVIRUW\HLJKWKVHVVLRQLQ                       <XJRVODYLD
LGHQWL¿HGWKHWRSLFRI³'LSORPDWLFSURWHFWLRQ´DVRQHRI
WKUHHWRSLFVDSSURSULDWHIRUFRGL¿FDWLRQDQGSURJUHVVLYH                         $WLWV¿IW\VHFRQGVHVVLRQLQWKH&RPPLVVLRQ
development.8 In the same year, the General Assembly,                            KDGEHIRUHLWWKH6SHFLDO5DSSRUWHXU¶V¿UVWUHSRUW16 The
LQ SDUDJUDSK  RI LWV UHVROXWLRQ  RI  'HFHP-                   Commission deferred its consideration of chapter III to
ber 1996, invited the Commission further to examine                              WKHQH[WVHVVLRQRZLQJWRWKHODFNRIWLPH$WWKHVDPH
the topic and to indicate its scope and content in the                           session, the Commission established an open-ended infor-
OLJKW RI WKH FRPPHQWV DQG REVHUYDWLRQV PDGH GXULQJ                       mal consultation, chaired by the Special Rapporteur, on
the debate in the Sixth Committee and of any written                             draft articles 1, 3 and 6.17 The Commission subsequently
FRPPHQWVWKDW*RYHUQPHQWVPLJKWZLVKWRPDNH$WLWV                            decided to refer draft articles 1, 3, 5, 6, 7 and 8 to the
forty-ninth session, in 1997, the Commission, pursuant                           'UDIWLQJ&RPPLWWHHWRJHWKHUZLWKWKHUHSRUWRIWKHLQIRU-
to the above General Assembly resolution, established at                         mal consultation.
LWV WK PHHWLQJ D:RUNLQJ *URXS RQ WKH WRSLF9 The
:RUNLQJ *URXS VXEPLWWHG D UHSRUW DW WKH VDPH VHVVLRQ                     $W LWV ¿IW\WKLUG VHVVLRQ LQ  WKH &RPPLVVLRQ
which was endorsed by the Commission.107KH:RUNLQJ                             had before it the remainder of the Special Rapporteur’s
Group attempted to: (a) clarify the scope of the topic to                        ¿UVWUHSRUWDVZHOODVKLVVHFRQGUHSRUW18 Due to the lack
WKHH[WHQWSRVVLEOHDQG b) identify issues which should                        of time, the Commission was only able to consider those
EH VWXGLHG LQ WKH FRQWH[W RI WKH WRSLF 7KH :RUNLQJ                    SDUWVRIWKHVHFRQGUHSRUWFRYHULQJGUDIWDUWLFOHVDQG
Group proposed an outline for consideration of the topic                         11, and deferred consideration of the remainder of the
which the Commission recommended to form the basis                               UHSRUW FRQFHUQLQJ GUDIW DUWLFOHV  DQG  WR WKH QH[W
for the submission of a preliminary report by the Special                        session. At the same session, the Commission decided to
Rapporteur.11                                                                    UHIHUGUDIWDUWLFOHVDQGWRWKH'UDIWLQJ&RPPLWWHH
39. Also at its forty-ninth session, the Commission                              45. Also at the same session, the Commission estab-
appointed Mr. Mohamed Bennouna Special Rapporteur for                            lished an open-ended informal consultation on article 9,
the topic.12                                                                     chaired by the Special Rapporteur.
 7KH*HQHUDO$VVHPEO\LQSDUDJUDSKRILWVUHVROX-                           $WLWV¿IW\IRXUWKVHVVLRQLQWKH&RPPLVVLRQ
tion 52/156 of 15 December 1997 endorsed the decision                            had before it the remainder of the second report of the
RIWKH&RPPLVVLRQWRLQFOXGHLQLWVDJHQGDWKHWRSLF³'LS-                       6SHFLDO5DSSRUWHXUFRQFHUQLQJGUDIWDUWLFOHVDQG
ORPDWLFSURWHFWLRQ´                                                             as well as his third report,19FRYHULQJGUDIWDUWLFOHVWR
                                                                                 At this session, the Commission decided to refer draft
 $WLWV¿IWLHWKVHVVLRQLQWKH&RPPLVVLRQKDG                        DUWLFOH  SDUDJUDSKV a, b, G (to be considered in con-
before it the preliminary report of the Special Rappor-                          QHFWLRQ ZLWK SDUDJUDSK a), and e WR WKH 'UDIWLQJ &RP-
teur.13 At the same session, the Commission established                          mittee. It subsequently decided to refer draft article 14,
DQRSHQHQGHG:RUNLQJ*URXSWRFRQVLGHUSRVVLEOHFRQ-                            SDUDJUDSKFWRWKH'UDIWLQJ&RPPLWWHHWREHFRQVLGHUHG
FOXVLRQVZKLFKPLJKWEHGUDZQRQWKHEDVLVRIWKHGLVFXV-                        LQFRQQHFWLRQZLWKSDUDJUDSKa.
sion as to the approach to the topic.14
                                                                                 47. Also at this session, the Commission considered
 $W LWV ¿IW\¿UVW VHVVLRQ LQ  WKH &RPPLVVLRQ                   WKH UHSRUW RI WKH 'UDIWLQJ &RPPLWWHH RQ GUDIW DUWLFOHV 
DSSRLQWHG 0U &KULVWRSKHU -RKQ 5REHUW 'XJDUG 6SHFLDO                       WR>@,WDGRSWHGDUWLFOHVWR>@>@>@DQG>@
    8
      Yearbook « , vol. II (Part Two), document A/51/10, p. 97,                 15
                                                                                        <HDUERRN«, vol. II (Part Two), document A/54/10, p. 17,
para. 248 and Annex II, addendum 1, p. 137.
                                                                                 para. 19.
    9
      <HDUERRN«, vol. II (Part Two), p. 60, para. 169.                         16
                                                                                        Yearbook … 2000, vol. II (Part One), document A/CN.4/506 and
    10
        ,ELG, p. 60, para. 171.                                                 Corr.1 and Add.1.
    11
        ,ELG, pp. 62–63, paras. 189–190.                                            17
                                                                                        The report of the informal consultations is contained in LELG,
    12
        ,ELG, p. 63, para. 190.                                                 vol. II (Part Two), pp. 85–86, para. 495.
    13
        <HDUERRN « , vol. II (Part One), document A/CN.4/484,                  18
                                                                                         <HDUERRN « , vol. II (Part One), document A/CN.4/514,
p. 309.                                                                          p. 97.
    14
       7KH FRQFOXVLRQV RI WKH :RUNLQJ *URXS DUH FRQWDLQHG LQ LELG,        19
                                                                                         Yearbook … 2002, vol. II (Part One), document A/CN.4/523 and
vol. II (Part Two), p. 49, para. 108.                                            Add.1, p. 19.
                                                                              
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<pre>18                               5HSRUWRIWKH,QWHUQDWLRQDO/DZ&RPPLVVLRQRQWKHZRUNRIWKH¿IW\VL[WKVHVVLRQ
In addition, the Commission adopted the commentaries to                    WKDWWKH'UDIWLQJ&RPPLWWHHZRXOGFRQVLGHUHODERUDWLQJ
the aforementioned draft articles.20                                       a provision on the connection between the protection of
                                                                           ships’ crews and diplomatic protection.
48. The Commission also established an open-ended
informal consultation, chaired by the Special Rapporteur,                  56. The Commission considered the report of the Draft-
on the question of the diplomatic protection of crews as                   LQJ &RPPLWWHH $&1/  DW LWV WK PHHWLQJ
well as that of corporations and shareholders.                             KHOGRQ0D\DQGDGRSWHGRQ¿UVWUHDGLQJDVHW
                                                                           of 19 draft articles on diplomatic protection (see sect. C
 $W LWV ¿IW\¿IWK VHVVLRQ LQ  WKH &RPPLVVLRQ             below).
had before it the fourth report of the Special Rappor-
teur.21 7KH &RPPLVVLRQ FRQVLGHUHG WKH ¿UVW SDUW RI WKH             $W WKH VDPH PHHWLQJ WKH &RPPLVVLRQ GHFLGHG LQ
UHSRUW FRQFHUQLQJ GUDIW DUWLFOHV  WR  DW LWV WK        accordance with articles 16 and 21 of its statute, to trans-
WR QG WK DQG WK PHHWLQJV KHOG IURP                mit the draft articles (LELG  WKURXJK WKH 6HFUHWDU\*HQ-
May to 23 May and on 28 May and 5 June 2003, respec-                       eral, to Governments for comments and observations,
tively. It subsequently considered the second part of the                  with the request that such comments and observations be
UHSRUWFRQFHUQLQJGUDIWDUWLFOHVDQGDWLWVWKWR             submitted to the Secretary-General by 1 January 2006.
WKPHHWLQJVKHOGRQDQG-XO\
                                                                            $W LWV WK PHHWLQJ KHOG RQ  $XJXVW 
 $W LWV QG PHHWLQJ WKH &RPPLVVLRQ GHFLGHG                  the Commission expressed its deep appreciation for the
WR HVWDEOLVK DQ RSHQHQGHG :RUNLQJ *URXS FKDLUHG E\                RXWVWDQGLQJ FRQWULEXWLRQ WKH WZR 6SHFLDO 5DSSRUWHXUV
WKH 6SHFLDO 5DSSRUWHXU RQ DUWLFOH  SDUDJUDSK 22               0U 0RKDPHG %HQQRXQD DQG 0U -RKQ 'XJDUG KDG
7KH &RPPLVVLRQ FRQVLGHUHG WKH UHSRUW RI WKH :RUNLQJ                PDGHWRWKHWUHDWPHQWRIWKHWRSLFWKURXJKWKHLUVFKRODUO\
*URXSDWLWVWKPHHWLQJ                                               UHVHDUFKDQGYDVWH[SHULHQFHWKXVHQDEOLQJWKH&RPPLV-
                                                                           VLRQWREULQJWRDVXFFHVVIXOFRQFOXVLRQLWV¿UVWUHDGLQJRI
 7KH&RPPLVVLRQGHFLGHGDWLWVWKPHHWLQJWR                    the draft articles on diplomatic protection.
UHIHUWRWKH'UDIWLQJ&RPPLWWHHDUWLFOHDVSURSRVHGE\
WKH:RUNLQJ*URXS23 and articles 18 to 20. Subsequently,                  & 7H[WRIWKHGUDIWDUWLFOHVRQGLSORPDWLFSURWHFWLRQ
DWLWVWKPHHWLQJLWDOVRGHFLGHGWRUHIHUDUWLFOHV                  DGRSWHGE\WKH&RPPLVVLRQRQ¿UVWUHDGLQJ
DQGWRWKH'UDIWLQJ&RPPLWWHH
                                                                                             1. TEXT OF THE DRAFT ARTICLES
52. The Commission considered the report of the Draft-
LQJ&RPPLWWHHRQGUDIWDUWLFOHV>@>@DQG>@                59. The text of the draft articles adopted by the Com-
DWLWVWKPHHWLQJ,WSURYLVLRQDOO\DGRSWHGGUDIWDUWL-                PLVVLRQRQ¿UVWUHDGLQJLVUHSURGXFHGEHORZ
FOHV>@>@DQG>@DWWKHVDPHPHHWLQJ24
                                                                                               ',3/20$7,&3527(&7,21
 % &RQVLGHUDWLRQRIWKHWRSLFDWWKHSUHVHQWVHVVLRQ                                                      PART ONE
53. At the present session, the Commission had before                                              GENERAL PROVISIONS
LWWKH¿IWKUHSRUWRIWKH6SHFLDO5DSSRUWHXU $&1 
                                                                                                $UWLFOH 'H¿QLWLRQDQGVFRSH
The Commission considered the report at its 2791st
WRWKPHHWLQJVKHOGIURPWR0D\                               'LSORPDWLF SURWHFWLRQ FRQVLVWV RI UHVRUW WR GLSORPDWLF DFWLRQ
                                                                           RURWKHUPHDQVRISHDFHIXOVHWWOHPHQWE\D6WDWHDGRSWLQJLQLWV
 'XULQJ WKH FRQVLGHUDWLRQ RI WKH ¿IWK UHSRUW WKH              RZQULJKWWKHFDXVHRILWVQDWLRQDOLQUHVSHFWRIDQLQMXU\WRWKDW
Commission requested the Special Rapporteur to con-                        QDWLRQDODULVLQJIURPDQLQWHUQDWLRQDOO\ZURQJIXODFWRIDQRWKHU
                                                                           State.
VLGHUZKHWKHUWKHGRFWULQHRI³FOHDQKDQGV´LVUHOHYDQWWR
the topic of diplomatic protection and, if so, whether it                             $UWLFOH 5LJKWWRH[HUFLVHGLSORPDWLFSURWHFWLRQ
VKRXOGEHUHÀHFWHGLQWKHIRUPRIDQDUWLFOH7KH6SHFLDO
Rapporteur prepared a memorandum on this issue, but the                       $6WDWHKDVWKHULJKWWRH[HUFLVHGLSORPDWLFSURWHFWLRQLQDFFRUG
Commission did not have time to consider it and decided                    DQFHZLWKWKHSUHVHQWGUDIWDUWLFOHV
to come back to this question at the next session.
                                                                                                            PART TWO
 $WLWVWKPHHWLQJKHOGRQ0D\WKH&RP-                                                 NATIONALITY
PLVVLRQGHFLGHGWRUHIHUGUDIWDUWLFOHWRJHWKHUZLWKWKH
alternative formulation for draft article 21 as proposed                                                    CHAPTER I
E\ WKH 6SHFLDO 5DSSRUWHXU WR WKH 'UDIWLQJ &RPPLWWHH
7KH&RPPLVVLRQIXUWKHUGHFLGHGDWLWVWKPHHWLQJ                                            GENERAL PRINCIPLES
    20
       7KHWH[WRIWKHGUDIWDUWLFOHVZLWKWKHFRUUHVSRQGLQJFRPPHQWVLV             $UWLFOH 3URWHFWLRQE\WKH6WDWHRIQDWLRQDOLW\
in LELG, vol. II (Part Two), chap. V, sect. C, pp. 67–76, paras. 280–281.
    21
        Yearbook … 2003, vol. II (Part One), document A/CN.4/530 and           7KH 6WDWH HQWLWOHG WR H[HUFLVH GLSORPDWLF SURWHFWLRQ LV WKH
Add.1, p. 3.                                                               6WDWHRIQDWLRQDOLW\
    22
       ,ELG, vol. II (Part Two), p. 27, paras. 90–92.
    23
       ,ELG, para. 92.                                                        1RWZLWKVWDQGLQJ SDUDJUDSK  GLSORPDWLF SURWHFWLRQ PD\
    24
        The text of the draft articles with the commentary is in LELG,    EHH[HUFLVHGLQUHVSHFWRIDQRQQDWLRQDOLQDFFRUGDQFHZLWKGUDIW
p. 35–41, para. 153.                                                       article 8.
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<pre>                                                                    Diplomatic protection                                                                 
                                 CHAPTER II                                               $UWLFOH &RQWLQXRXVQDWLRQDOLW\RIDFRUSRUDWLRQ
                           NATURAL PERSONS                                           $ 6WDWH LV HQWLWOHG WR H[HUFLVH GLSORPDWLF SURWHFWLRQ LQ
                                                                                respect of a corporation which was its national at the time of the
           Article 4. 6WDWHRIQDWLRQDOLW\RIDQDWXUDOSHUVRQ                  LQMXU\DQGLVLWVQDWLRQDODWWKHGDWHRIWKHRI¿FLDOSUHVHQWDWLRQRI
                                                                                the claim.
    )RUWKHSXUSRVHVRIGLSORPDWLFSURWHFWLRQRIQDWXUDOSHUVRQVD
6WDWHRIQDWLRQDOLW\PHDQVD6WDWHZKRVHQDWLRQDOLW\WKHLQGLYLGXDO                 1RWZLWKVWDQGLQJSDUDJUDSKD6WDWHFRQWLQXHVWREHHQWL
VRXJKWWREHSURWHFWHGKDVDFTXLUHGE\ELUWKGHVFHQWVXFFHVVLRQRI           WOHG WR H[HUFLVH GLSORPDWLF SURWHFWLRQ LQ UHVSHFW RI D FRUSRUDWLRQ
6WDWHVQDWXUDOL]DWLRQRULQDQ\RWKHUPDQQHUQRWLQFRQVLVWHQWZLWK           ZKLFKZDVLWVQDWLRQDODWWKHWLPHRIWKHLQMXU\DQGZKLFKDVWKH
international law.                                                              UHVXOWRIWKHLQMXU\KDVFHDVHGWRH[LVWDFFRUGLQJWRWKHODZRIWKDW
                                                                                State.
                   $UWLFOH &RQWLQXRXVQDWLRQDOLW\
                                                                                                 $UWLFOH 3URWHFWLRQRIVKDUHKROGHUV
     $ 6WDWH LV HQWLWOHG WR H[HUFLVH GLSORPDWLF SURWHFWLRQ LQ
UHVSHFWRIDSHUVRQZKRZDVLWVQDWLRQDODWWKHWLPHRIWKHLQMXU\                 7KH 6WDWH RI QDWLRQDOLW\ RI WKH VKDUHKROGHUV LQ D FRUSRUDWLRQ
DQGLVDQDWLRQDODWWKHGDWHRIWKHRI¿FLDOSUHVHQWDWLRQRIWKHFODLP         VKDOOQRWEHHQWLWOHGWRH[HUFLVHGLSORPDWLFSURWHFWLRQRQEHKDOIRI
                                                                                VXFKVKDUHKROGHUVLQWKHFDVHRIDQLQMXU\WRWKHFRUSRUDWLRQXQOHVV
     1RWZLWKVWDQGLQJSDUDJUDSKD6WDWHPD\H[HUFLVHGLSOR
matic protection in respect of a person who is its national at the                   D  7KHFRUSRUDWLRQKDVFHDVHGWRH[LVWDFFRUGLQJWRWKHODZRI
GDWHRIWKHRI¿FLDOSUHVHQWDWLRQRIWKHFODLPEXWZDVQRWDQDWLRQDO           WKH6WDWHRILQFRUSRUDWLRQIRUDUHDVRQXQUHODWHGWRWKHLQMXU\RU
DWWKHWLPHRIWKHLQMXU\SURYLGHGWKDWWKHSHUVRQKDVORVWKLVRUKHU
IRUPHUQDWLRQDOLW\DQGKDVDFTXLUHGIRUDUHDVRQXQUHODWHGWRWKH                  E  7KHFRUSRUDWLRQKDGDWWKHWLPHRIWKHLQMXU\WKHQDWLRQ
EULQJLQJRIWKHFODLPWKHQDWLRQDOLW\RIWKDW6WDWHLQDPDQQHUQRW           DOLW\RIWKH6WDWHDOOHJHGWREHUHVSRQVLEOHIRUFDXVLQJLQMXU\DQG
inconsistent with international law.                                            LQFRUSRUDWLRQXQGHUWKHODZRIWKHODWWHU6WDWHZDVUHTXLUHGE\LWDV
                                                                                DSUHFRQGLWLRQIRUGRLQJEXVLQHVVWKHUH
     'LSORPDWLFSURWHFWLRQVKDOOQRWEHH[HUFLVHGE\WKHSUHVHQW
6WDWH RI QDWLRQDOLW\ LQ UHVSHFW RI D SHUVRQ DJDLQVW D IRUPHU 6WDWH                  $UWLFOH 'LUHFWLQMXU\WRVKDUHKROGHUV
RIQDWLRQDOLW\RIWKDWSHUVRQIRUDQLQMXU\LQFXUUHGZKHQWKDWSHU
VRQZDVDQDWLRQDORIWKHIRUPHU6WDWHRIQDWLRQDOLW\DQGQRWRIWKH               7R WKH H[WHQW WKDW DQ LQWHUQDWLRQDOO\ ZURQJIXO DFW RI D 6WDWH
SUHVHQW6WDWHRIQDWLRQDOLW\                                                   FDXVHVGLUHFWLQMXU\WRWKHULJKWVRIVKDUHKROGHUVDVVXFKDVGLVWLQFW
                                                                                IURPWKRVHRIWKHFRUSRUDWLRQLWVHOIWKH6WDWHRIQDWLRQDOLW\RIDQ\
               $UWLFOH 0XOWLSOHQDWLRQDOLW\DQGFODLP                       VXFK VKDUHKROGHUV LV HQWLWOHG WR H[HUFLVH GLSORPDWLF SURWHFWLRQ LQ
                            DJDLQVWDWKLUG6WDWH                               respect of its nationals.
     $Q\6WDWHRIZKLFKDGXDORUPXOWLSOHQDWLRQDOLVDQDWLRQDO                                $UWLFOH 2WKHUOHJDOSHUVRQV
PD\ H[HUFLVH GLSORPDWLF SURWHFWLRQ LQ UHVSHFW RI WKDW QDWLRQDO
DJDLQVWD6WDWHRIZKLFKWKDWLQGLYLGXDOLVQRWDQDWLRQDO                         7KHSULQFLSOHVFRQWDLQHGLQGUDIWDUWLFOHVDQGLQUHVSHFWRI
                                                                                FRUSRUDWLRQVVKDOOEHDSSOLFDEOHDVDSSURSULDWHWRWKHGLSORPDWLF
     7ZRRUPRUH6WDWHVRIQDWLRQDOLW\PD\MRLQWO\H[HUFLVHGLS             SURWHFWLRQRIRWKHUOHJDOSHUVRQV
ORPDWLFSURWHFWLRQLQUHVSHFWRIDGXDORUPXOWLSOHQDWLRQDO
                                                                                                                 PART THREE
               $UWLFOH 0XOWLSOHQDWLRQDOLW\DQGFODLP
                       DJDLQVWD6WDWHRIQDWLRQDOLW\                                                       LOCAL REMEDIES
    $ 6WDWH RI QDWLRQDOLW\ PD\ QRW H[HUFLVH GLSORPDWLF SURWHFWLRQ                      $UWLFOH ([KDXVWLRQRIORFDOUHPHGLHV
LQUHVSHFWRIDSHUVRQDJDLQVWD6WDWHRIZKLFKWKDWSHUVRQLVDOVRD
QDWLRQDOXQOHVVWKHQDWLRQDOLW\RIWKHIRUPHU6WDWHLVSUHGRPLQDQW                 $6WDWHPD\QRWEULQJDQLQWHUQDWLRQDOFODLPLQUHVSHFWRI
ERWKDWWKHWLPHRIWKHLQMXU\DQGDWWKHGDWHRIWKHRI¿FLDOSUHVHQWD         DQLQMXU\WRDQDWLRQDORURWKHUSHUVRQUHIHUUHGWRLQGUDIWDUWLFOH
tion of the claim.                                                              EHIRUHWKHLQMXUHGSHUVRQKDVVXEMHFWWRGUDIWDUWLFOHH[KDXVWHG
                                                                                DOOORFDOUHPHGLHV
                  $UWLFOH 6WDWHOHVVSHUVRQVDQGUHIXJHHV
                                                                                     ³/RFDO UHPHGLHV´ PHDQV OHJDO UHPHGLHV ZKLFK DUH RSHQ
     $6WDWHPD\H[HUFLVHGLSORPDWLFSURWHFWLRQLQUHVSHFWRID             WR DQ LQMXUHG SHUVRQ EHIRUH WKH MXGLFLDO RU DGPLQLVWUDWLYH FRXUWV
VWDWHOHVVSHUVRQZKRDWWKHWLPHRIWKHLQMXU\DQGDWWKHGDWHRIWKH         RU ERGLHV ZKHWKHU RUGLQDU\ RU VSHFLDO RI WKH 6WDWH DOOHJHG WR EH
RI¿FLDOSUHVHQWDWLRQRIWKHFODLPLVODZIXOO\DQGKDELWXDOO\UHVLGHQW         UHVSRQVLEOHIRUWKHLQMXU\
in that State.
                                                                                                      $UWLFOH &DWHJRU\RIFODLPV
     $6WDWHPD\H[HUFLVHGLSORPDWLFSURWHFWLRQLQUHVSHFWRID
SHUVRQZKRLVUHFRJQL]HGDVDUHIXJHHE\WKDW6WDWHZKHQWKDWSHU                  /RFDOUHPHGLHVVKDOOEHH[KDXVWHGZKHUHDQLQWHUQDWLRQDOFODLP
VRQDWWKHWLPHRIWKHLQMXU\DQGDWWKHGDWHRIWKHRI¿FLDOSUHVHQWD         RU UHTXHVW IRU D GHFODUDWRU\ MXGJHPHQW UHODWHG WR WKH FODLP LV
WLRQRIWKHFODLPLVODZIXOO\DQGKDELWXDOO\UHVLGHQWLQWKDW6WDWH           EURXJKWSUHSRQGHUDQWO\RQWKHEDVLVRIDQLQMXU\WRDQDWLRQDORU
                                                                                RWKHUSHUVRQUHIHUUHGWRLQGUDIWDUWLFOH
     3DUDJUDSKGRHVQRWDSSO\LQUHVSHFWRIDQLQMXU\FDXVHG
E\DQLQWHUQDWLRQDOO\ZURQJIXODFWRIWKH6WDWHRIQDWLRQDOLW\RIWKH                      $UWLFOH ([FHSWLRQVWRWKHORFDOUHPHGLHVUXOH
UHIXJHH
                                                                                    /RFDOUHPHGLHVGRQRWQHHGWREHH[KDXVWHGZKHUH
                                CHAPTER III
                                                                                     D  7KH ORFDO UHPHGLHV SURYLGH QR UHDVRQDEOH SRVVLELOLW\ RI
                             LEGAL PERSONS                                      HIIHFWLYHUHGUHVV
            $UWLFOH 6WDWHRIQDWLRQDOLW\RIDFRUSRUDWLRQ                        b  7KHUH LV XQGXH GHOD\ LQ WKH UHPHGLDO SURFHVV ZKLFK LV
                                                                                DWWULEXWDEOHWRWKH6WDWHDOOHJHGWREHUHVSRQVLEOH
    )RUWKHSXUSRVHVRIGLSORPDWLFSURWHFWLRQRIFRUSRUDWLRQVWKH
6WDWHRIQDWLRQDOLW\PHDQVWKH6WDWHXQGHUZKRVHODZWKHFRUSRUD                    c  7KHUHLVQRUHOHYDQWFRQQHFWLRQEHWZHHQWKHLQMXUHGSHUVRQ
WLRQZDVIRUPHGDQGLQZKRVHWHUULWRU\LWKDVLWVUHJLVWHUHGRI¿FHRU          DQGWKH6WDWHDOOHJHGWREHUHVSRQVLEOHRUWKHFLUFXPVWDQFHVRIWKH
WKHVHDWRILWVPDQDJHPHQWRUVRPHVLPLODUFRQQHFWLRQ                          FDVHRWKHUZLVHPDNHWKHH[KDXVWLRQRIORFDOUHPHGLHVXQUHDVRQDEOH
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<pre>                                5HSRUWRIWKH,QWHUQDWLRQDO/DZ&RPPLVVLRQRQWKHZRUNRIWKH¿IW\VL[WKVHVVLRQ
     G  7KH6WDWHDOOHJHGWREHUHVSRQVLEOHKDVZDLYHGWKHUHTXLUH              reparation for the injury caused by the internationally
PHQWWKDWORFDOUHPHGLHVEHH[KDXVWHG                                           ZURQJIXO DFW7KLV UHSDUDWLRQ PD\ WDNH WKH IRUP RI UHV-
                                   PART FOUR                                      WLWXWLRQFRPSHQVDWLRQRUVDWLVIDFWLRQHLWKHUVLQJO\RULQ
                                                                                  combination. All these matters are dealt with in the draft
                    MISCELLANEOUS PROVISIONS                                      articles on State responsibility.27 Some members of the
                                                                                  &RPPLVVLRQZHUHRIWKHYLHZWKDWWKHOHJDOFRQVHTXHQFHV
                  $UWLFOH $FWLRQVRUSURFHGXUHVRWKHU
                          WKDQGLSORPDWLFSURWHFWLRQ                              of diplomatic protection should have been covered in the
                                                                                  present draft articles and that the focus of attention should
    7KH SUHVHQW GUDIW DUWLFOHV DUH ZLWKRXW SUHMXGLFH WR WKH ULJKWV      not have been the admissibility of claims.
RI6WDWHVQDWXUDOSHUVRQVRURWKHUHQWLWLHVWRUHVRUWXQGHULQWHUQD
WLRQDOODZWRDFWLRQVRUSURFHGXUHVRWKHUWKDQGLSORPDWLFSURWHF                    'LSORPDWLF SURWHFWLRQ EHORQJV WR WKH VXEMHFW RI
WLRQWRVHFXUHUHGUHVVIRULQMXU\VXIIHUHGDVDUHVXOWRIDQLQWHUQD             ³7UHDWPHQW RI DOLHQV´ 1R DWWHPSW LV PDGH KRZHYHU WR
WLRQDOO\ZURQJIXODFW
                                                                                  GHDOZLWKWKHSULPDU\UXOHVRQWKLVVXEMHFWWKHUXOHVJRY-
                   $UWLFOH 6SHFLDOWUHDW\SURYLVLRQV                         HUQLQJWKHWUHDWPHQWRIWKHSHUVRQDQGSURSHUW\RIDOLHQV
                                                                                  EUHDFK RI ZKLFK JLYHV ULVH WR UHVSRQVLELOLW\ WR WKH 6WDWH
    7KHSUHVHQWGUDIWDUWLFOHVGRQRWDSSO\ZKHUHDQGWRWKHH[WHQW             of nationality of the injured person. Instead the present
WKDWWKH\DUHLQFRQVLVWHQWZLWKVSHFLDOWUHDW\SURYLVLRQVLQFOXGLQJ
WKRVHFRQFHUQLQJWKHVHWWOHPHQWRIGLVSXWHVEHWZHHQFRUSRUDWLRQV                 GUDIW DUWLFOHV DUH FRQ¿QHG WR VHFRQGDU\ UXOHV RQO\ WKDW
RUVKDUHKROGHUVRIDFRUSRUDWLRQDQG6WDWHV                                      is, the rules that relate to the conditions that must be met
                                                                                  IRUWKHEULQJLQJRIDFODLPIRUGLSORPDWLFSURWHFWLRQ%\
                           $UWLFOH 6KLSV¶FUHZV                              DQGODUJHWKLVPHDQVUXOHVJRYHUQLQJWKHDGPLVVLELOLW\RI
    7KHULJKWRIWKH6WDWHRIQDWLRQDOLW\RIWKHPHPEHUVRIWKHFUHZ
                                                                                  claims. Article 44 of the draft articles on State respon-
RI D VKLS WR H[HUFLVH GLSORPDWLF SURWHFWLRQ RQ WKHLU EHKDOI LV QRW    sibility provides:
DIIHFWHG E\ WKH ULJKW RI WKH 6WDWH RI QDWLRQDOLW\ RI D VKLS WR VHHN
UHGUHVV RQ EHKDOI RI VXFK FUHZ PHPEHUV LUUHVSHFWLYH RI WKHLU                   “The responsibility of a State may not be invoked if:
QDWLRQDOLW\ZKHQWKH\KDYHEHHQLQMXUHGLQWKHFRXUVHRIDQLQMXU\
WRWKHYHVVHOUHVXOWLQJIURPDQLQWHUQDWLRQDOO\ZURQJIXODFW                             (a  WKH FODLP LV QRW EURXJKW LQ DFFRUGDQFH ZLWK
                                                                                      DQ\DSSOLFDEOHUXOHUHODWLQJWRWKHQDWLRQDOLW\RIFODLPV
                2. TEXT OF THE DRAFT ARTICLES WITH
                         COMMENTARIES THERETO                                             (b) the claim is one to which the rule of exhaus-
                                                                                      tion of local remedies applies and any available and
60. The texts of the draft articles on diplomatic protec-                             HIIHFWLYHORFDOUHPHG\KDVQRWEHHQH[KDXVWHG´28
WLRQ ZLWK FRPPHQWDULHV WKHUHWR DGRSWHG RQ ¿UVW UHDGLQJ
E\ WKH &RPPLVVLRQ DW LWV ¿IW\VL[WK VHVVLRQ DUH UHSUR-                    7KH SUHVHQW GUDIW DUWLFOHV JLYH FRQWHQW WR WKLV SURYLVLRQ
duced below.                                                                      E\HODERUDWLQJRQWKHUXOHVUHODWLQJWRWKHQDWLRQDOLW\RI
                                                                                  claims and the exhaustion of local remedies.
                  ',3/20$7,&3527(&7,21
                                                                                  (3) The present draft articles do not deal with the protec-
   7KH GUDIWLQJ RI DUWLFOHV RQ GLSORPDWLF SURWHFWLRQ                     WLRQRIDQDJHQWE\DQLQWHUQDWLRQDORUJDQL]DWLRQJHQHUDOO\
ZDVRULJLQDOO\VHHQDVEHORQJLQJWRWKHVWXG\RQ6WDWHUH-                        GHVFULEHG DV ³IXQFWLRQDO SURWHFWLRQ´ $OWKRXJK WKHUH DUH
VSRQVLELOLW\,QGHHGWKH¿UVW6SHFLDO5DSSRUWHXURQ6WDWH                       similarities between functional protection and diplomatic
responsibility, Mr. García Amador, included a number                              protection, there are also important differences. Diplomatic
of draft articles on this subject in his reports presented                        SURWHFWLRQ LV D PHFKDQLVP GHVLJQHG WR VHFXUH UHSDUDWLRQ
from 1956 to 1961.257KHVXEVHTXHQWFRGL¿FDWLRQRI6WDWH                         for injury to the national of a State premised on the prin-
responsibility paid little attention to diplomatic protec-                        ciple that an injury to a national is an injury to the State
WLRQDQGWKH¿QDOGUDIWDUWLFOHVRQWKLVVXEMHFWH[SUHVVO\                       itself. Functional protection, on the other hand, is an institu-
state that the two topics central to diplomatic protec-                           WLRQIRUSURPRWLQJWKHHI¿FLHQWIXQFWLRQLQJRIDQLQWHUQD-
tion—nationality of claims and the exhaustion of local                            WLRQDO RUJDQL]DWLRQ E\ HQVXULQJ UHVSHFW IRU LWV DJHQWV DQG
remedies—would be dealt with more extensively by the                              their independence. Differences of this kind have led the
&RPPLVVLRQ LQ D VHSDUDWH XQGHUWDNLQJ26 Nevertheless,                         &RPPLVVLRQWRFRQFOXGHWKDWSURWHFWLRQRIDQDJHQWE\DQ
there is a close connection between the draft articles on                         LQWHUQDWLRQDORUJDQL]DWLRQGRHVQRWEHORQJLQDVHWRIGUDIW
State responsibility and the present draft articles. Many                         articles on diplomatic protection. The question whether a
of the principles contained in the draft articles on State
                                                                                  State may exercise diplomatic protection in respect of a
responsibility are relevant to diplomatic protection and
                                                                                  QDWLRQDO ZKR LV DQ DJHQW RI DQ LQWHUQDWLRQDO RUJDQL]DWLRQ
are therefore not repeated in the present draft articles.
                                                                                  was answered by the ICJ in the Reparation for injuries case:
7KLV DSSOLHV LQ SDUWLFXODU WR WKH SURYLVLRQV GHDOLQJ ZLWK
WKHOHJDOFRQVHTXHQFHVRIDQLQWHUQDWLRQDOO\ZURQJIXODFW                        ,QVXFKDFDVHWKHUHLVQRUXOHRIODZZKLFKDVVLJQVSULRULW\WRWKHRQH
$ 6WDWH UHVSRQVLEOH IRU LQMXULQJ D IRUHLJQ QDWLRQDO LV                   RUWRWKHRWKHURUZKLFKFRPSHOVHLWKHUWKH6WDWHRUWKH2UJDQL]DWLRQWR
REOLJHG WR FHDVH WKH ZURQJIXO FRQGXFW DQG WR PDNH IXOO                  UHIUDLQIURPEULQJLQJDQLQWHUQDWLRQDOFODLP7KH&RXUWVHHVQRUHDVRQ
                                                                                  ZK\WKHSDUWLHVFRQFHUQHGVKRXOGQRW¿QGVROXWLRQVLQVSLUHGE\JRRG-
                                                                                  will and common sense.29
    25
         First report: <HDUERRN « , vol. II, document A/CN.4/96,
SVHFRQGUHSRUWYearbook «, vol. II, document A/CN.4/106,                 27
SWKLUGUHSRUW<HDUERRN«, vol. II, document A/CN.4/111,                     Articles 28, 30, 31 and 34–37. Much of the commentary on com-
SIRXUWKUHSRUW<HDUERRN«, vol. II, document A/CN.4/119,              pensation (art. 36) is devoted to a consideration of the principles appli-
S  ¿IWK UHSRUW <HDUERRN « , vol. II, document A/CN.4/125,           FDEOHWRFODLPVFRQFHUQLQJGLSORPDWLFSURWHFWLRQ
SDQGVL[WKUHSRUW<HDUERRN«, vol. II, document A/CN.4/134                28
                                                                                          <HDUERRN «  YRO ,, 3DUW 7ZR  DQG FRUULJHQGXP S 
and Add.1, p. 1.                                                                  para. 76.
    26
       <HDUERRN «  YRO ,, 3DUW 7ZR  DQG FRUULJHQGXP S           29
                                                                                         5HSDUDWLRQ IRU LQMXULHV VXIIHUHG LQ WKH VHUYLFH RI WKH 8QLWHG
(commentary on article 44, foonotes 683 and 687).                                 1DWLRQV$GYLVRU\2SLQLRQ,&-5HSRUWV, p. 174, at pp. 185–186.
</pre>

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<pre>                                                                Diplomatic protection                                                                     
                              PART ONE                                      SURFHHGLQJV´ ZKHQ GHVFULELQJ WKH DFWLRQ WKDW PD\ EH
                                                                            taken by a State when it resorts to diplomatic protection.32
                    GENERAL PROVISIONS                                      $UWLFOHUHWDLQVWKLVGLVWLQFWLRQEXWJRHVIXUWKHUE\VXE-
                                                                            VXPLQJMXGLFLDOSURFHHGLQJVXQGHU³RWKHUPHDQVRISHDFH-
                $UWLFOH 'H¿QLWLRQDQGVFRSH                             IXOVHWWOHPHQW´³'LSORPDWLFDFWLRQ´FRYHUVDOOWKHODZIXO
                                                                            procedures employed by a State to inform another State of
    'LSORPDWLF SURWHFWLRQ FRQVLVWV RI UHVRUW WR GLSOR                LWVYLHZVDQGFRQFHUQVLQFOXGLQJSURWHVWDQGUHTXHVWIRU
PDWLF DFWLRQ RU RWKHU PHDQV RI SHDFHIXO VHWWOHPHQW                  DQLQTXLU\RUIRUQHJRWLDWLRQVDLPHGDWWKHVHWWOHPHQWRI
E\ D 6WDWH DGRSWLQJ LQ LWV RZQ ULJKW WKH FDXVH RI LWV           GLVSXWHV³2WKHUPHDQVRISHDFHIXOVHWWOHPHQW´HPEUDFHV
QDWLRQDOLQUHVSHFWRIDQLQMXU\WRWKDWQDWLRQDODULVLQJ                  DOOIRUPVRIODZIXOGLVSXWHVHWWOHPHQWIURPQHJRWLDWLRQ
IURPDQLQWHUQDWLRQDOO\ZURQJIXODFWRIDQRWKHU6WDWH                      mediation and conciliation to arbitral and judicial dis-
                                                                            pute settlement. The use of force, prohibited by Article 2,
                            Commentary                                      SDUDJUDSKRIWKH&KDUWHURIWKH8QLWHG1DWLRQVLVQRW
                                                                            DSHUPLVVLEOHPHWKRGIRUWKHHQIRUFHPHQWRIWKHULJKWRI
   $UWLFOHGH¿QHVGLSORPDWLFSURWHFWLRQE\GHVFULELQJ                  diplomatic protection.
its main elements and at the same time indicates the scope
of this mechanism for the protection of nationals injured                   (6) Article 1 makes clear the point, already raised in the
abroad.                                                                     General commentary,33 that the present articles deal only
                                                                            with the exercise of diplomatic protection by a State and
(2) Under international law, a State is responsible for                     QRWZLWKWKHSURWHFWLRQDIIRUGHGE\DQLQWHUQDWLRQDORUJDQL
LQMXU\WRDQDOLHQFDXVHGE\LWVZURQJIXODFWRURPLVVLRQ                 ]DWLRQWRLWVDJHQWVUHFRJQL]HGE\WKH,&-LQLWVDGYLVRU\
Diplomatic protection is the procedure employed by the                      opinion on Reparation for injuries.34
State of nationality of the injured persons to secure pro-
tection of that person and to obtain reparation for the inter-              (7) Diplomatic protection mainly covers the protection
QDWLRQDOO\ZURQJIXODFWLQÀLFWHG7KHSUHVHQWGUDIWDUWLFOHV               RIQDWLRQDOVQRWHQJDJHGLQRI¿FLDOLQWHUQDWLRQDOEXVLQHVV
DUHFRQFHUQHGRQO\ZLWKWKHUXOHVJRYHUQLQJWKHFLUFXP-                     RQ EHKDOI RI WKH 6WDWH 7KHVH RI¿FLDOV DUH SURWHFWHG E\
stances in which diplomatic protection may be exercised                     other rules of international law and instruments, such as
and the conditions that must be met before it may be exer-                  the Vienna Convention on Diplomatic Relations and the
FLVHG7KH\GRQRWVHHNWRGH¿QHRUGHVFULEHWKHLQWHUQD-                   Vienna Convention on Consular Relations.
WLRQDOO\ZURQJIXODFWVWKDWJLYHULVHWRWKHUHVSRQVLELOLW\
                                                                                 $UWLFOH 5LJKWWRH[HUFLVHGLSORPDWLFSURWHFWLRQ
of the State for injury to an alien. The draft articles, like
those on the responsibility of States for internationally
ZURQJIXODFWVPDLQWDLQWKHGLVWLQFWLRQEHWZHHQSULPDU\                         $6WDWHKDVWKHULJKWWRH[HUFLVHGLSORPDWLFSURWHF
and secondary rules and deal only with the latter.30                        WLRQLQDFFRUGDQFHZLWKWKHSUHVHQWGUDIWDUWLFOHV
                                                                                                              Commentary
   $UWLFOHPDNHVLWFOHDUWKDWWKHULJKWRIGLSORPDWLF
SURWHFWLRQEHORQJVWRWKH6WDWH,QH[HUFLVLQJGLSORPDWLF                     $UWLFOHVWUHVVHVWKDWWKHULJKWRIGLSORPDWLFSURWHF-
SURWHFWLRQWKH6WDWHDGRSWVLQLWVRZQULJKWWKHFDXVHRI                 WLRQEHORQJVWRRUYHVWVLQWKH6WDWH,WJLYHVUHFRJQLWLRQWR
LWVQDWLRQDODULVLQJIURPWKHLQWHUQDWLRQDOO\ZURQJIXODFW                 the Vattelian notion that an injury to a national is an indi-
RI DQRWKHU 6WDWH7KLV IRUPXODWLRQ IROORZV WKH ODQJXDJH              rect injury to the State.35 This view was formulated more
of the ICJ in the ,QWHUKDQGHO case when it stated that the                  carefully by the PCIJ in the 0DYURPPDWLV case when it
DSSOLFDQW6WDWHKDG³DGRSWHGWKHFDXVHRILWVQDWLRQDO´31                   stated:
ZKRVHULJKWVKDGEHHQYLRODWHG7KHOHJDOLQWHUHVWRIWKH
6WDWH LQ H[HUFLVLQJ GLSORPDWLF SURWHFWLRQ GHULYHV IURP               %\WDNLQJXSWKHFDVHRIRQHRILWVVXEMHFWVDQGE\UHVRUWLQJWRGLSOR-
WKHLQMXU\WRDQDWLRQDOUHVXOWLQJIURPWKHZURQJIXODFWRI                PDWLFDFWLRQRULQWHUQDWLRQDOMXGLFLDOSURFHHGLQJVRQKLVEHKDOID6WDWH
another State.                                                              LVLQUHDOLW\DVVHUWLQJLWVRZQULJKWV±LWVULJKWWRHQVXUHLQWKHSHUVRQRI
                                                                            its subjects, respect for the rules of international law.36
(4) In most circumstances, it is the link of nationality                    7KLV YLHZ LV IUHTXHQWO\ FULWLFL]HG DV D ¿FWLRQ GLI¿FXOW
EHWZHHQWKH6WDWHDQGWKHLQMXUHGSHUVRQWKDWJLYHVULVHWR                to reconcile with the realities of diplomatic protection,
the exercise of diplomatic protection, a matter that is dealt               which require continuous nationality for the assertion
ZLWKLQDUWLFOHVDQG7KHWHUP³QDWLRQDO´LQWKLVDUWLFOH              of a diplomatic claim,37 the exhaustion of local remedies
FRYHUVERWKQDWXUDODQGOHJDOSHUVRQV/DWHULQWKHGUDIW                  E\ WKH LQMXUHG QDWLRQDO DQG WKH DVVHVVPHQW RI GDPDJHV
DUWLFOHVDGLVWLQFWLRQLVGUDZQEHWZHHQWKHUXOHVJRYHUQLQJ
QDWXUDODQGOHJDOSHUVRQVDQGZKHUHQHFHVVDU\WKHWZR                        32
                                                                                    0DYURPPDWLV3DOHVWLQH&RQFHVVLRQVFDVH VHHIRRWQRWHDERYH 
concepts are treated separately.                                            3DQHYH]\V6DOGXWLVNLV 5DLOZD\ case, -XGJPHQW  P.C.I.J., Series
                                                                            $% 1R  S  DW S  DQG WKH Nottebohm case, 6HFRQG 3KDVH
(5) Diplomatic protection must be exercised by law-                         -XGJPHQW I.C.J. Reports , p. 4, at p. 24.
ful and peaceful means. Several judicial decisions draw                          33
                                                                                    See above SDUDJUDSK  RIWKH*HQHUDOFRPPHQWDU\
D GLVWLQFWLRQ EHWZHHQ ³GLSORPDWLF DFWLRQ´ DQG ³MXGLFLDO                   34
                                                                                    See footnote 29 above.
                                                                                 35
                                                                                   ³:KRHYHU LOOWUHDWV D FLWL]HQ LQGLUHFWO\ LQMXUHV WKH 6WDWH ZKLFK
                                                                            PXVWSURWHFWWKDWFLWL]HQ´(GH9DWWHO/HGURLWGHVJHQVRX3ULQFLSHV
    30
       <HDUERRN «  YRO ,, 3DUW 7ZR  DQG FRUULJHQGXP S  GHODORLQDWXUHOOH(1758):DVKLQJWRQ'&&DUQHJLH,QVWLWXWLRQ
(General commentary, paras. (1) to (3)).                                    vol. I, book II, chap. VI, p. 136.
    31
       ,QWHUKDQGHO &DVH Preliminary REMHFWLRQV -XGJPHQW I.C.J.
                                                                                 36
                                                                                    0DYURPPDWLV &RQFHVVLRQVLQ3DOHVWLQH(see footnote 31 above),
5HSRUWV, p. 6, at p. 27. See also 0DYURPPDWLV3DOHVWLQH&RQFHV        p. 12.
sions, -XGJPHQW1R, , P.C.I.J., Series A, No. 2.                          37
                                                                                     See the text of articles 5 and 10 above.
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<pre>                                 5HSRUWRIWKH,QWHUQDWLRQDO/DZ&RPPLVVLRQRQWKHZRUNRIWKH¿IW\VL[WKVHVVLRQ
suffered to accord with the loss suffered by the individual.                   exercise diplomatic protection on behalf of such a person.
1HYHUWKHOHVV WKH ³0DYURPPDWLV SULQFLSOH´ RU WKH ³9DW-                    The emphasis in this article is on the bond of nationality
WHOLDQ¿FWLRQ´DVWKHQRWLRQWKDWDQLQMXU\WRDQDWLRQDOLV                 between State and individual which entitles the State to
an injury to the State has come to be known, remains the                       exercise diplomatic protection. This bond differs in the
cornerstone of diplomatic protection.38                                        FDVHVRIQDWXUDOSHUVRQVDQGOHJDOSHUVRQV&RQVHTXHQWO\
                                                                               separate chapters are devoted to these different types of
   $6WDWHKDVWKHULJKWWRH[HUFLVHGLSORPDWLFSURWHF-                      persons.
WLRQRQEHKDOIRIDQDWLRQDO,WLVXQGHUQRGXW\RUREOLJD-
WLRQ WR GR VR 7KH LQWHUQDO ODZ RI D 6WDWH PD\ REOLJH D              3DUDJUDSK  UHFRJQL]HV WKDW WKHUH PD\ EH FLUFXP-
State to extend diplomatic protection to a national,39 but                     stances in which diplomatic protection may be exercised
LQWHUQDWLRQDO ODZ LPSRVHV QR VXFK REOLJDWLRQ7KH SRVL-                  in respect of non-nationals. Article 8 provides for such
tion was clearly stated by the ICJ in the %DUFHORQD7UDF                      SURWHFWLRQLQWKHFDVHRIVWDWHOHVVSHUVRQVDQGUHIXJHHV
tion case:
                                                                                                              CHAPTER II
«ZLWKLQWKHOLPLWVSUHVFULEHGE\LQWHUQDWLRQDOODZD6WDWHPD\H[HU-
cise diplomatic protection by whatever means and to whatever extent
LWWKLQNV¿WIRULWLVLWVRZQULJKWWKDWWKH6WDWHLVDVVHUWLQJ6KRXOGWKH                           NATURAL PERSONS
QDWXUDORUOHJDOSHUVRQVRQZKRVHEHKDOILWLVDFWLQJFRQVLGHUWKDWWKHLU
ULJKWV DUH QRW DGHTXDWHO\ SURWHFWHG WKH\ KDYH QR UHPHG\ LQ LQWHUQD-     Article 4. 6WDWHRIQDWLRQDOLW\RIDQDWXUDOSHUVRQ
tional law. All they can do is resort to municipal law, if means are avail-
DEOHZLWKDYLHZWRIXUWKHULQJWKHLUFDXVHRUREWDLQLQJUHGUHVV>«@7KH
6WDWHPXVWEHYLHZHGDVWKHVROHMXGJHWRGHFLGHZKHWKHULWVSURWHFWLRQ           )RUWKHSXUSRVHVRIGLSORPDWLFSURWHFWLRQRIQDWXUDO
ZLOOEHJUDQWHGWRZKDWH[WHQWLWLVJUDQWHGDQGZKHQLWZLOOFHDVH,W     SHUVRQV D 6WDWH RI QDWLRQDOLW\ PHDQV D 6WDWH ZKRVH
retains in this respect a discretionary power the exercise of which may        QDWLRQDOLW\ WKH LQGLYLGXDO VRXJKW WR EH SURWHFWHG KDV
be determined by considerations of a political or other nature, unrelated      DFTXLUHGE\ELUWKGHVFHQWVXFFHVVLRQRI6WDWHVQDWX
to the particular case.40
                                                                               UDOL]DWLRQ RU LQ DQ\ RWKHU PDQQHU QRW LQFRQVLVWHQW
A proposal that a limited duty of protection be imposed                        with international law.
on the State of nationality was rejected by the Commis-
VLRQDVJRLQJEH\RQGWKHSHUPLVVLEOHOLPLWVRISURJUHVVLYH                                                 Commentary
development of the law.41
                                                                                  $UWLFOHGH¿QHVWKH6WDWHRIQDWLRQDOLW\IRUWKHSXU-
   7KH ULJKW RI D 6WDWH WR H[HUFLVH GLSORPDWLF SURWHF-               poses of diplomatic protection of natural persons. This
tion may only be carried out within the parameters of the                      GH¿QLWLRQLVSUHPLVHGRQWZRSULQFLSOHV¿UVWWKDWLWLVIRU
present articles.                                                              the State of nationality to determine, in accordance with
                                                                               LWV PXQLFLSDO ODZ ZKR LV WR TXDOLI\ IRU LWV QDWLRQDOLW\
                                   PART TWO                                    secondly, that there are limits imposed by international
                                                                               ODZRQWKHJUDQWRIQDWLRQDOLW\$UWLFOHDOVRSURYLGHVD
                              NATIONALITY                                      QRQH[KDXVWLYHOLVWRIFRQQHFWLQJIDFWRUVWKDWXVXDOO\FRQ-
                                                                               VWLWXWHJRRGJURXQGVIRUWKHJUDQWRIQDWLRQDOLW\
                                   CHAPTER I
                                                                               (2) The principle that it is for each State to decide who
                             GENERAL PRINCIPLES                                are its nationals is backed by both judicial decisions
                                                                               and treaties. In 1923, the PCIJ stated in the Nationality
       $UWLFOH 3URWHFWLRQE\WKH6WDWHRIQDWLRQDOLW\                      'HFUHHV ,VVXHG LQ 7XQLV DQG 0RURFFR case that: “in the
                                                                               present state of international law, questions of nationality
      7KH6WDWHHQWLWOHGWRH[HUFLVHGLSORPDWLFSURWHF                     DUH>«@LQSULQFLSOHZLWKLQWKHUHVHUYHGGRPDLQ´42 This
WLRQLVWKH6WDWHRIQDWLRQDOLW\                                              SULQFLSOHZDVFRQ¿UPHGE\DUWLFOHRIWKH&RQYHQWLRQRQ
                                                                               &HUWDLQ4XHVWLRQV5HODWLQJWRWKH&RQÀLFWRI1DWLRQDOLW\
      1RWZLWKVWDQGLQJSDUDJUDSKGLSORPDWLFSUR                          Law: “It is for each State to determine under its own law
WHFWLRQPD\EHH[HUFLVHGLQUHVSHFWRIDQRQQDWLRQDOLQ                      ZKRDUHLWVQDWLRQDOV´0RUHUHFHQWO\LWKDVEHHQHQGRUVHG
DFFRUGDQFHZLWKGUDIWDUWLFOH                                               by the 1997 European Convention on Nationality (art. 3).
                                 Commentary
                                                                                  7KHFRQQHFWLQJIDFWRUVIRUWKHFRQIHUPHQWRIQDWLRQ-
                                                                               ality listed in article 4 are illustrative and not exhaustive.
   :KHUHDV DUWLFOH  DI¿UPV WKH GLVFUHWLRQDU\ ULJKW                   1HYHUWKHOHVV WKH\ LQFOXGH WKH FRQQHFWLQJ IDFWRUV PRVW
of the State to exercise diplomatic protection, arti-                          FRPPRQO\HPSOR\HGE\6WDWHVIRUWKHJUDQWRIQDWLRQDO-
cle 3 asserts the principle that it is the State of nationality                ity: birth (jus soli), descent (jus sanguinis DQGQDWXUDOL]D-
RIWKHLQMXUHGSHUVRQWKDWLVHQWLWOHGEXWQRWREOLJHGWR                   WLRQ0DUULDJHWRDQDWLRQDOLVQRWLQFOXGHGLQWKLVOLVWDV
     38
         For a discussion of this notion, and the criticisms directed at it,
                                                                               LQPRVWFLUFXPVWDQFHVPDUULDJHper seLVLQVXI¿FLHQWIRU
VHHWKH¿UVWUHSRUWRIWKH6SHFLDO5DSSRUWHXURQGLSORPDWLFSURWHFWLRQ        WKH JUDQW RI QDWLRQDOLW\ LW UHTXLUHV LQ DGGLWLRQ D SHULRG
(footnote 16 above), paras. 61–74.                                             RIUHVLGHQFHIROORZLQJZKLFKQDWLRQDOLW\LVFRQIHUUHGE\
     39
         For an examination of domestic laws on this subject, see LELG,       QDWXUDOL]DWLRQ :KHUH PDUULDJH WR D QDWLRQDO DXWRPDWL-
paras. 80–87.                                                                  cally results in the acquisition by a spouse of the national-
     40
         %DUFHORQD7UDFWLRQ/LJKWDQG3RZHU&RPSDQ\/LPLWHG6HFRQG         ity of the other spouse, problems may arise in respect of
3KDVH-XGJPHQW ,&-5HSRUWV, p. 3, at p. 44.
     41
        6HHDUWLFOHLQWKH¿UVWUHSRUWRIWKH6SHFLDO5DSSRUWHXURQGLSOR-
matic protection (footnote 16 above). For the debate in the Commission,            42
                                                                                      1DWLRQDOLW\'HFUHHV,VVXHGLQ7XQLVDQG0RURFFR$GYLVRU\2SLQ
see Yearbook … 2002, vol. II (Part Two), pp. 91–92, paras. 447–456.            ion,  P.C.I.J., Series B, No. 4, p. 6, at p. 24.
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<pre>                                                                       Diplomatic protection                                                               
the consistency of such an acquisition of nationality with                         never acquire or have acquired nationality by birth or
international law.43 Nationality may also be acquired as a                         descent from States with which they have a tenuous
result of the succession of States.44                                              connection.49
   7KH FRQQHFWLQJ IDFWRUV OLVWHG LQ DUWLFOH  DUH WKRVH                    7KH¿QDOSKUDVHLQDUWLFOHVWUHVVHVWKDWWKHDFTXLVL-
most frequently used by States to establish nationality. In                        tion of nationality must not be inconsistent with interna-
some countries, where there are no clear birth records, it                         WLRQDOODZ$OWKRXJKD6WDWHKDVWKHULJKWWRGHFLGHZKR
PD\EHGLI¿FXOWWRSURYHQDWLRQDOLW\,QVXFKFDVHVUHVL-                          LWVQDWLRQDOVDUHWKLVULJKWLVQRWDEVROXWH$UWLFOHRIWKH
GHQFHFRXOGSURYLGHSURRIRIQDWLRQDOLW\DOWKRXJKLWPD\                           &RQYHQWLRQ RQ &HUWDLQ 4XHVWLRQV 5HODWLQJ WR WKH
not constitute a basis for nationality itself. A State may,                        &RQÀLFWRI1DWLRQDOLW\/DZFRQ¿UPHGWKLVE\TXDOLI\LQJ
however, confer nationality on such persons by means of                            WKHSURYLVLRQWKDW³>L@WLVIRUHDFK6WDWHWRGHWHUPLQHXQGHU
QDWXUDOL]DWLRQ                                                                    LWVRZQODZZKRDUHLWVQDWLRQDOV´ZLWKWKHSURYLVR³>W@KLV
                                                                                   ODZVKDOOEHUHFRJQLVHGE\RWKHU6WDWHVLQVRIDUDVLWLVFRQ-
(5) Article 4 does not require a State to prove an effec-                          sistent with international conventions, international cus-
WLYHRUJHQXLQHOLQNEHWZHHQLWVHOIDQGLWVQDWLRQDODORQJ                       WRPDQGWKHSULQFLSOHVRIODZJHQHUDOO\UHFRJQLVHGZLWK
WKHOLQHVVXJJHVWHGLQWKHNottebohm case,45 as an addi-                           UHJDUGWRQDWLRQDOLW\´50 Today, conventions, particularly
tional factor for the exercise of diplomatic protection,                           LQWKH¿HOGRIKXPDQULJKWVUHTXLUH6WDWHVWRFRPSO\ZLWK
even where the national possesses only one nationality.                            LQWHUQDWLRQDO VWDQGDUGV LQ WKH JUDQWLQJ RI QDWLRQDOLW\51
'HVSLWH GLYHUJHQW YLHZV DV WR WKH LQWHUSUHWDWLRQ RI WKH                   )RUH[DPSOHDUWLFOHSDUDJUDSKRIWKH&RQYHQWLRQRQ
case, the Commission took the view that there were cer-                            WKH (OLPLQDWLRQ RI$OO )RUPV RI 'LVFULPLQDWLRQ DJDLQVW
tain factors that served to limit Nottebohm to the facts                           Women provides that:
of the case in question, particularly the fact that the ties
between Mr. Nottebohm and Liechtenstein (the appli-                                6WDWHV SDUWLHV VKDOO JUDQW ZRPHQ HTXDO ULJKWV ZLWK PHQ WR DFTXLUH
FDQW 6WDWH  ZHUH ³H[WUHPHO\ WHQXRXV´46 compared with                           FKDQJHRUUHWDLQWKHLUQDWLRQDOLW\7KH\VKDOOHQVXUHLQSDUWLFXODUWKDW
the close ties between Mr. Nottebohm and Guatemala                                 QHLWKHUPDUULDJHWRDQDOLHQQRUFKDQJHRIQDWLRQDOLW\E\WKHKXVEDQG
                                                                                   GXULQJPDUULDJHVKDOODXWRPDWLFDOO\FKDQJHWKHQDWLRQDOLW\RIWKHZLIH
(the respondent State) for a period of over 34 years,                              render her stateless or force upon her the nationality of the husband.52
which led the ICJ to repeatedly assert that Liechtenstein
was “not entitled to extend its protection to Nottebohm                               $UWLFOH  WKHUHIRUH UHFRJQL]HV WKDW D 6WDWH DJDLQVW
YLVjYLV*XDWHPDOD´477KLVVXJJHVWVWKDWWKH&RXUWGLG                          ZKLFK D FODLP LV PDGH RQ EHKDOI RI DQ LQMXUHG IRUHLJQ
QRWLQWHQGWRH[SRXQGDJHQHUDOUXOH48 applicable to all                           QDWLRQDO PD\ FKDOOHQJH WKH QDWLRQDOLW\ RI VXFK D SHUVRQ
6WDWHVEXWRQO\DUHODWLYHUXOHDFFRUGLQJWRZKLFKD6WDWH                        where his or her nationality has been acquired contrary
LQ/LHFKWHQVWHLQ¶VSRVLWLRQZDVUHTXLUHGWRVKRZDJHQX-                           to international law. Article 4 requires that nationality
ine link between itself and Mr. Nottebohm in order to                              should be acquired in a manner “not inconsistent with
SHUPLWLWWRFODLPRQKLVEHKDOIDJDLQVW*XDWHPDODZLWK                           LQWHUQDWLRQDO ODZ´ 7KH GRXEOH QHJDWLYH HPSKDVL]HV WKH
whom he had extremely close ties. Moreover, the Com-                               IDFWWKDWWKHEXUGHQRISURYLQJWKDWQDWLRQDOLW\KDVEHHQ
PLVVLRQZDVPLQGIXORIWKHIDFWWKDWLIWKHJHQXLQHOLQN                          acquired in violation of international law is upon the State
requirement proposed by Nottebohm was strictly applied                             FKDOOHQJLQJWKHQDWLRQDOLW\RIWKHLQMXUHGSHUVRQ7KDWWKH
LWZRXOGH[FOXGHPLOOLRQVRISHUVRQVIURPWKHEHQH¿WRI                           EXUGHQRISURRIIDOOVXSRQWKH6WDWHFKDOOHQJLQJQDWLRQDO-
diplomatic protection, as in today’s world of economic                             LW\IROORZVIURPWKHUHFRJQLWLRQWKDWWKH6WDWHFRQIHUULQJ
JOREDOL]DWLRQDQGPLJUDWLRQWKHUHDUHPLOOLRQVRISHUVRQV                         QDWLRQDOLW\ PXVW EH JLYHQ D ³PDUJLQ RI DSSUHFLDWLRQ´ LQ
who have drifted away from their State of nationality                              GHFLGLQJ XSRQ WKH FRQIHUPHQW RI QDWLRQDOLW\53 and that
and made their lives in States whose nationality they                              there is a presumption in favour of the validity of a State’s
                                                                                   conferment of nationality.54
    43
       6HHHJDUWLFOH  RIWKH&RQYHQWLRQRQWKH(OLPLQDWLRQRI$OO
)RUPVRI'LVFULPLQDWLRQDJDLQVW:RPHQ which prohibits the acquisi-
WLRQRIQDWLRQDOLW\LQVXFKFLUFXPVWDQFHV6HHDOVRSDUDJUDSK  RIWKH
commentary to this draft article below.
    44
        See the draft articles on nationality of natural persons in relation
                                                                                       49
                                                                                         )RU D PRUH FRPSUHKHQVLYH DUJXPHQW LQ IDYRXU RI OLPLWLQJ
to the succession of States, <HDUERRN«, vol. II (Part Two), p. 20,           the scope of the Nottebohm FDVH VHH WKH ¿UVW UHSRUW RI WKH 6SH-
para. 47.                                                                          cial Rapporteur on diplomatic protection (footnote 16 above),
                                                                                   paras. 106–120.
    45
        In the Nottebohm FDVH WKH ,&- VWDWHG ³$FFRUGLQJ WR WKH SUDF-          50
tice of States, to arbitral and judicial decisions and to the opinions of                 See also article 3 (2) of the European Convention on Nationality.
ZULWHUVQDWLRQDOLW\LVWKHOHJDOERQGKDYLQJDVLWVEDVLVDVRFLDOIDFWRI           51
                                                                                         7KLVZDVVWUHVVHGE\WKH,QWHU$PHULFDQ&RXUWRI+XPDQ5LJKWV
DWWDFKPHQWDJHQXLQHFRQQHFWLRQRIH[LVWHQFHLQWHUHVWVDQGVHQWLPHQWV          in its advisory opinion on the 3URSRVHG$PHQGPHQWVWRWKH1DWXUDOL]D
WRJHWKHU ZLWK WKH H[LVWHQFH RI UHFLSURFDO ULJKWV DQG GXWLHV ,W PD\ EH WLRQ3URYLVLRQRIWKH3ROLWLFDO&RQVWLWXWLRQRI&RVWD5LFD case, in which
said to constitute the juridical expression of the fact that the individual        it held that it was necessary to reconcile the principle that the confer-
upon whom it is conferred, either directly by the law or as the result             ment of nationality falls within the domestic jurisdiction of a State
of an act of the authorities, is in fact more closely connected with the           “with the further principle that international law imposes certain limits
SRSXODWLRQRIWKH6WDWHFRQIHUULQJQDWLRQDOLW\WKDQZLWKWKDWRIDQ\RWKHU        on the State’s power, which limits are linked to the demands imposed
State. Conferred by a State, it only entitles that State to exercise protec-       E\WKHLQWHUQDWLRQDOV\VWHPIRUWKHSURWHFWLRQRIKXPDQULJKWV´(ILR,
tion YLVjYLV another State, if it constitutes a translation into juridical       vol. 79 (1989), p. 283, at p. 296).
terms of the individual’s connection with the State which has made him                 52
                                                                                         6HHDOVRDUWLFOHRIWKH$PHULFDQ&RQYHQWLRQRQ+XPDQ5LJKWV
LWVQDWLRQDO´ VHHIRRWQRWHDERYH S                                      ³3DFWRI6DQ-RVp&RVWD5LFD´DQGDUWLFOH G  LLL RIWKH,QWHUQDWLRQDO
    46
        ,ELG, p. 25.                                                              Convention on the Elimination of All Forms of Racial Discrimination.
    47
        ,ELG, p. 26.                                                                  53
                                                                                          See the advisory opinion of the Inter-American Court of Human
    48
        This interpretation was placed on the Nottebohm case by the Ital-          5LJKWVLQWKH3URSRVHG$PHQGPHQWVWRWKH1DWXUDOL]DWLRQ3URYLVLRQVRI
ian–United States Conciliation Commission in )OHJHQKHLPHU 'HFLVLRQ               WKH3ROLWLFDO&RQVWLWXWLRQRI&RVWD5LFD (footnote 51 above), para. 62.
1RRI6HSWHPEHU, UNRIAA, vol.;,9(Sales No. 65.V.4),                     54
                                                                                          See 5<-HQQLQJVDQG$':DWWV HGV Oppenheim’s Interna
SDWSRU,/5 , YRO  SDWS              tional LawWKHG/RQJPDQYRO,3HDFH, p. 856.
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<pre>                               5HSRUWRIWKH,QWHUQDWLRQDO/DZ&RPPLVVLRQRQWKHZRUNRIWKH¿IW\VL[WKVHVVLRQ
                 $UWLFOH &RQWLQXRXVQDWLRQDOLW\                            nationality has to be retained between the injury and the
                                                                               presentation of the claim.59
      $6WDWHLVHQWLWOHGWRH[HUFLVHGLSORPDWLFSURWHF
tion in respect of a person who was its national at the                           7KH¿UVWUHTXLUHPHQWLVWKDWWKHLQMXUHGQDWLRQDOEH
WLPHRIWKHLQMXU\DQGLVDQDWLRQDODWWKHGDWHRIWKH                       a national of the claimant State at the time of the injury.
RI¿FLDOSUHVHQWDWLRQRIWKHFODLP                                             1RUPDOO\WKHGDWHRIWKHLQMXU\JLYLQJULVHWRWKHUHVSRQ-
                                                                               VLELOLW\ RI WKH 6WDWH IRU DQ LQWHUQDWLRQDOO\ ZURQJIXO DFW
      1RWZLWKVWDQGLQJ SDUDJUDSK  D 6WDWH PD\                        will coincide with the date on which the injurious act
H[HUFLVH GLSORPDWLF SURWHFWLRQ LQ UHVSHFW RI D SHUVRQ                  occurred.
ZKRLVLWVQDWLRQDODWWKHGDWHRIWKHRI¿FLDOSUHVHQWD
WLRQ RI WKH FODLP EXW ZDV QRW D QDWLRQDO DW WKH WLPH               (4) The second temporal requirement contained in para-
RIWKHLQMXU\SURYLGHGWKDWWKHSHUVRQKDVORVWKLVRU                       JUDSKLVWKHGDWHRIWKHRI¿FLDOSUHVHQWDWLRQRIWKHFODLP
KHUIRUPHUQDWLRQDOLW\DQGKDVDFTXLUHGIRUDUHDVRQ                         7KHUH LV VRPH GLVDJUHHPHQW LQ MXGLFLDO RSLQLRQ RYHU WKH
XQUHODWHGWRWKHEULQJLQJRIWKHFODLPWKHQDWLRQDOLW\                       date until which the continuous nationality of the claim
of that State in a manner not inconsistent with inter                         LV UHTXLUHG 7KLV XQFHUWDLQW\ VWHPV ODUJHO\ IURP WKH IDFW
national law.                                                                  WKDWFRQYHQWLRQVHVWDEOLVKLQJPL[HGFODLPVFRPPLVVLRQV
                                                                               KDYHHPSOR\HGGLIIHUHQWODQJXDJHWRLGHQWLI\WKHGDWHRI
      'LSORPDWLFSURWHFWLRQVKDOOQRWEHH[HUFLVHGE\                      the claim.607KHSKUDVH³SUHVHQWDWLRQRIWKHFODLP´LVWKDW
WKHSUHVHQW6WDWHRIQDWLRQDOLW\LQUHVSHFWRIDSHUVRQ                       most frequently used in treaties, judicial decisions and
DJDLQVWDIRUPHU6WDWHRIQDWLRQDOLW\RIWKDWSHUVRQIRU                      doctrine to indicate the outer date or GLHVDGTXHP required
DQLQMXU\LQFXUUHGZKHQWKDWSHUVRQZDVDQDWLRQDORI                         for the exercise of diplomatic protection. The Commission
WKHIRUPHU6WDWHRIQDWLRQDOLW\DQGQRWRIWKHSUHVHQW                        KDVDGGHGWKHZRUG³RI¿FLDO´WRWKLVIRUPXODWLRQWRLQGL-
6WDWHRIQDWLRQDOLW\                                                          cate that the date of the presentation of the claim is that
                                                                               RQ ZKLFK WKH ¿UVW RI¿FLDO RU IRUPDO GHPDQG LV PDGH E\
                                Commentary                                     WKH 6WDWH H[HUFLVLQJ GLSORPDWLF SURWHFWLRQ LQ FRQWUDVW WR
                                                                               informal diplomatic contacts and enquiries on this subject.
   $OWKRXJK WKH FRQWLQXRXV QDWLRQDOLW\ UXOH LV ZHOO
established,55 it has been subjected to considerable criti-                    (5) The entitlement of the State to exercise diplomatic
cism56RQWKHJURXQGVWKDWLWPD\SURGXFHJUHDWKDUGVKLS                      SURWHFWLRQEHJLQVDWWKHGDWHRIWKHRI¿FLDOSUHVHQWDWLRQRI
LQFDVHVLQZKLFKDQLQGLYLGXDOFKDQJHVKLVRUKHUQDWLRQ-                     the claim. There was, however, support for the view that
DOLW\ IRU UHDVRQV XQUHODWHG WR WKH EULQJLQJ RI D GLSOR-               LI WKH LQGLYLGXDO VKRXOG FKDQJH KLV QDWLRQDOLW\ EHWZHHQ
PDWLFFODLP6XJJHVWLRQVWKDWLWEHDEDQGRQHGKDYHEHHQ                       WKLV GDWH DQG WKH PDNLQJ RI DQ DZDUG RU D MXGJPHQW KH
UHVLVWHGRXWRIIHDUWKDWWKLVPLJKWEHDEXVHGDQGOHDGWR                    ceases to be a national for the purposes of diplomatic pro-
³QDWLRQDOLW\VKRSSLQJ´IRUWKHSXUSRVHRIGLSORPDWLFSUR-                      WHFWLRQ$FFRUGLQJWRWKLVYLHZWKHFRQWLQXRXVQDWLRQDOLW\
tection.57 The Commission is of the view that the continu-                     rule requires the bond of nationality “from the time of the
ous nationality rule should be retained but that exceptions                    RFFXUUHQFHRIWKHLQMXU\XQWLOWKHPDNLQJRIWKHDZDUG´61
should be allowed to accommodate cases in which unfair-                        ,QOLJKWRIWKHSDXFLW\RIVXFKFDVHVLQSUDFWLFHWKH&RP-
QHVVPLJKWRWKHUZLVHUHVXOW                                                   PLVVLRQ SUHIHUUHG WR PDLQWDLQ WKH SRVLWLRQ UHÀHFWHG LQ
                                                                               draft article 5.
   3DUDJUDSK  DVVHUWV WKH WUDGLWLRQDO SULQFLSOH WKDW
a State is entitled to exercise diplomatic protection in                          7KH ZRUG ³FODLP´ LQ SDUDJUDSK  LQFOXGHV ERWK D
respect of a person who was its national both at the time of                   FODLPVXEPLWWHGWKURXJKGLSORPDWLFFKDQQHOVDQGDFODLP
WKHLQMXU\DQGDWWKHGDWHRIWKHRI¿FLDOSUHVHQWDWLRQRIWKH                 ¿OHGEHIRUHDMXGLFLDOERG\6XFKDFODLPPD\VSHFLI\WKH
claim. State practice and doctrine are unclear on whether                      conduct that the responsible State should take in order to
the national must retain the nationality of the claimant                       FHDVH WKH ZURQJIXO DFW LI LW LV FRQWLQXLQJ DQG WKH IRUP
6WDWH EHWZHHQ WKHVH WZR GDWHV ODUJHO\ EHFDXVH LQ SUDF-                reparation should take. This matter is dealt with more
tice this issue seldom arises.58 In these circumstances the                    fully in article 43 of the draft articles on the responsibility
Commission decided to leave open the question whether                          RI6WDWHVIRULQWHUQDWLRQDOO\ZURQJIXODFWVDGRSWHGE\WKH
                                                                               &RPPLVVLRQDWLWV¿IW\WKLUGVHVVLRQLQDQGLQWKH
     55
                                                                               commentary thereto.62
         See, for instance, the decision of the United States International
Claims Commission 1951–1954 in the Kren claim, ILR (1953), vol. 20
(1957), p. 233, at p. 234.                                                     (7) While the Commission decided that it was neces-
     56
        6HHWKHVHSDUDWHRSLQLRQRI-XGJH6LU*HUDOG)LW]PDXULFHLQ%DUFH    VDU\WRUHWDLQWKHFRQWLQXRXVQDWLRQDOLW\UXOHLWDJUHHGWKDW
ORQD7UDFWLRQ 6HFRQG3KDVH, -XGJPHQW (footnote 40 above), pp. 101–            WKHUHZDVDQHHGIRUH[FHSWLRQVWRWKLVUXOH3DUDJUDSK
VHHDOVR(:\OHU/DUqJOHGLWHGHODFRQWLQXLWpGHODQDWLRQDO         DFFRUGLQJO\SURYLGHVWKDWD6WDWHPD\H[HUFLVHGLSORPDWLF
LWp GDQV OH FRQWHQWLHX[ LQWHUQDWLRQDO, Paris, Presses universitaires de    protection in respect of a person who was a national at the
France, 1990.                                                                  GDWHRIWKHRI¿FLDOSUHVHQWDWLRQRIWKHFODLPEXWQRWDWWKH
     57
         See the statement of Umpire Parker in the case $GPLQLVWUDWLYH
'HFLVLRQ1R9: “Any other rule would open wide the door for abuses
DQGPLJKWUHVXOWLQFRQYHUWLQJDVWURQJQDWLRQLQWRDFODLPDJHQF\RQ             59
                                                                                      The same approach was adopted by the Institute of Interna-
EHKDOIRIWKRVHZKRDIWHUVXIIHULQJLQMXULHVVKRXOGDVVLJQWKHLUFODLPV
                                                                               tional Law in its Warsaw Session, in September 1965 (LELG, tome II,
WRLWVQDWLRQDOVRUDYDLOWKHPVHOYHVRILWVQDWXUDOL]DWLRQODZVIRUWKHSXU-
                                                                               pp. 260–262).
SRVHRISURFXULQJLWVHVSRXVDOIRUWKHLUFODLPV´'HFLVLRQRI2FWREHU
, United States–Germany Mixed Claims Commission, UNRIAA,
                                                                                   60
                                                                                      See the dictum of Umpire Parker in the case $GPLQLVWUDWLYH'HFL
vol. VII (Sales No. 1956.V.5), p. 119, at p. 141.                              sion No. V (footnote 57 above), p. 143.
                                                                                   61
     58
        6HH + : %ULJJV ³/D SURWHFWLRQ GLSORPDWLTXH GHV LQGLYLGXV         Oppenheim’s International Law (see footnote 54 above), p. 512.
HQ GURLW LQWHUQDWLRQDO OD QDWLRQDOLWp GHV UpFODPDWLRQV´ $QQXDLUH GH     62
                                                                                      <HDUERRN «  YRO ,, 3DUW 7ZR  DQG FRUULJHQGXP
O¶,QVWLWXWGHGURLWLQWHUQDWLRQDO, vol. 51 (1965), tome I, p. 5, at pp. 72–73. pp. 127–129.
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<pre>                                                             Diplomatic protection                                                                    
WLPHRIWKHLQMXU\LIWKUHHFRQGLWLRQVDUHPHW¿UVWO\WKH            soli and jus sanguinis or of the conferment of nationality
SHUVRQ VHHNLQJ GLSORPDWLF SURWHFWLRQ KDV ORVW KLV RU KHU        E\QDWXUDOL]DWLRQZKLFKGRHVQRWUHVXOWLQWKHUHQXQFLDWLRQ
IRUPHUQDWLRQDOLW\VHFRQGO\WKDWSHUVRQKDVDFTXLUHGWKH              of a prior nationality. International law does not prohibit
nationality of another State for a reason unrelated to the               dual or multiple nationality: indeed such nationality was
EULQJLQJRIWKHFODLPDQGWKLUGO\WKHDFTXLVLWLRQRIWKH              JLYHQDSSURYDOE\DUWLFOHRIWKH&RQYHQWLRQRQ&HUWDLQ
new nationality has taken place in a manner not inconsist-               4XHVWLRQV 5HODWLQJ WR WKH &RQÀLFW RI 1DWLRQDOLW\ /DZV
ent with international law.                                              ZKLFK SURYLGHV WKDW ³« D SHUVRQ KDYLQJ WZR RU PRUH
                                                                         QDWLRQDOLWLHV PD\ EH UHJDUGHG DV LWV QDWLRQDO E\ HDFK RI
(8) Loss of nationality may occur voluntarily or invol-                  WKH6WDWHVZKRVHQDWLRQDOLW\KHSRVVHVVHV´,WLVWKHUHIRUH
untarily. In the case of the succession of States, and, pos-             necessary to address the question of the exercise of dip-
VLEO\DGRSWLRQDQGPDUULDJHZKHQDFKDQJHRIQDWLRQDOLW\               lomatic protection by a State of nationality in respect of a
is compulsory, nationality will be lost involuntarily. In the            dual or multiple national. Article 6 is limited to the exer-
FDVHRIRWKHUFKDQJHVRIQDWLRQDOLW\WKHHOHPHQWRIZLOOLV             cise of diplomatic protection by one of the States of which
QRWVRFOHDU)RUUHDVRQVRIWKLVNLQGSDUDJUDSKGRHVQRW            WKHLQMXUHGSHUVRQLVDQDWLRQDODJDLQVWD6WDWHRIZKLFK
require the loss of nationality to be involuntary.                       that person is not a national. The exercise of diplomatic
                                                                         SURWHFWLRQ E\ RQH 6WDWH RI QDWLRQDOLW\ DJDLQVW DQRWKHU
(9) As discussed above,63 fear that a person may delib-                  State of nationality is covered in article 7.
HUDWHO\FKDQJHKLVRUKHUQDWLRQDOLW\LQRUGHUWRDFTXLUHD
6WDWHRIQDWLRQDOLW\PRUHZLOOLQJDQGDEOHWREULQJDGLSOR-                3DUDJUDSKDOORZVD6WDWHRIQDWLRQDOLW\WRH[HUFLVH
matic claim on his or her behalf is the basis for the rule of            diplomatic protection in respect of its national even where
continuous nationality. The second condition contained in                that person is a national of one or more other States. Like
SDUDJUDSKDGGUHVVHVWKLVIHDUE\SURYLGLQJWKDWWKHSHU-               DUWLFOH  LW GRHV QRW UHTXLUH D JHQXLQH RU HIIHFWLYH OLQN
son in respect of whom diplomatic protection is exercised                EHWZHHQWKHQDWLRQDODQGWKH6WDWHH[HUFLVLQJGLSORPDWLF
must have acquired his or her new nationality for a reason               protection.
XQUHODWHGWRWKHEULQJLQJRIWKHFODLP7KLVFRQGLWLRQLV
GHVLJQHGWROLPLWH[FHSWLRQVWRWKHFRQWLQXRXVQDWLRQDOLW\                 $OWKRXJK WKHUH LV VXSSRUW IRU WKH UHTXLUHPHQW RI D
UXOHWRFDVHVLQYROYLQJFRPSXOVRU\LPSRVLWLRQRIQDWLRQ-                 JHQXLQHRUHIIHFWLYHOLQNEHWZHHQWKH6WDWHRIQDWLRQDOLW\
ality, such as those in which the person has acquired a new              and a dual or multiple national in the case of the exer-
nationality as a necessary consequence of factors such as                FLVHRIGLSORPDWLFSURWHFWLRQDJDLQVWD6WDWHRIZKLFKWKH
PDUULDJHDGRSWLRQRUWKHVXFFHVVLRQRI6WDWHV                          injured person is not a national, in both arbitral decisions64
                                                                         DQG FRGL¿FDWLRQ HQGHDYRXUV65 WKH ZHLJKW RI DXWKRULW\
(10) The third condition that must be met for the rule of                does not require such a condition. In the Salem case, an
continuous nationality not to apply is that the new nation-              DUELWUDO WULEXQDO KHOG WKDW (J\SW FRXOG QRW UDLVH WKH IDFW
ality has been acquired in a manner not inconsistent with                that the injured individual had effective Persian national-
international law. This condition must be read in conjunc-               LW\DJDLQVWDFODLPIURPWKH8QLWHG6WDWHVDQRWKHU6WDWHRI
tion with article 4.                                                     nationality. It stated that:
                                                                         >7@KHUXOHRILQWHUQDWLRQDOODZ>LV@WKDWLQDFDVHRIGXDOQDWLRQDOLW\D
   3DUDJUDSKDGGVDQRWKHUVDIHJXDUGDJDLQVWDEXVH                  third power is not entitled to contest the claim of one of the two powers
RI WKH OLIWLQJ RI WKH FRQWLQXRXV QDWLRQDOLW\ UXOH 'LSOR-        ZKRVHQDWLRQDOLVLQWHUHVWHGLQWKHFDVHE\UHIHUULQJWRWKHQDWLRQDOLW\
matic protection may not be exercised by the new State                   of the other power.66
RIQDWLRQDOLW\DJDLQVWDIRUPHU6WDWHRIQDWLRQDOLW\RIWKH
                                                                         This rule has been followed in other cases67 and has more
injured person in respect of an injury incurred when that
                                                                         recently been upheld by the Iran–United States Claim
person was a national of the former State of nationality
and not the present State of nationality. The injured per-                    64
                                                                                6HHWKHGHFLVLRQRIWKH<XJRVODY±+XQJDULDQ0L[HG$UELWUDO7UL-
son cannot have been an alien when the injury occurred.                  bunal in the GH%RUQ case, &DVH1RRI-XO\ Annual Digest
                                                                         RI 3XEOLF ,QWHUQDWLRQDO /DZ &DVHV  DQG , A. McNair and
          $UWLFOH 0XOWLSOHQDWLRQDOLW\DQGFODLP                     +/DXWHUSDFKW HGV /RQGRQ/RQJPDQSS±
                       DJDLQVWDWKLUG6WDWH                                  65
                                                                                6HHDUWLFOHRIWKH&RQYHQWLRQRQ&HUWDLQ4XHVWLRQV5HODWLQJ
                                                                         WR WKH &RQÀLFW RI 1DWLRQDOLW\ /DZ DUWLFOH  b) of the Resolution
                                                                         on “the national character of an international claim presented by a
     $Q\6WDWHRIZKLFKDGXDORUPXOWLSOHQDWLRQDO                  6WDWH IRU LQMXU\ VXIIHUHG E\ DQ LQGLYLGXDO´ DGRSWHG E\ WKH ,QVWLWXWH
LV D QDWLRQDO PD\ H[HUFLVH GLSORPDWLF SURWHFWLRQ LQ              of International Law at its Warsaw Session in 1965, 7DEOHDXGHVUpVR
UHVSHFWRIWKDWQDWLRQDODJDLQVWD6WDWHRIZKLFKWKDW                  OXWLRQV DGRSWpHV ± , Paris, Pedone, 1992, p. 57, at p. 59
LQGLYLGXDOLVQRWDQDWLRQDO                                            (reproduced in <HDUERRN«YRO,,S DUWLFOH  RIWKH
                                                                         1960 Harvard Draft Convention on the International Responsibility of
                                                                         States for Injuries to Aliens (reproduced in L. B. Sohn and R. R. Bax-
     7ZR RU PRUH 6WDWHV RI QDWLRQDOLW\ PD\ MRLQWO\            ter, “Responsibility of States for injuries to the economic interests of
H[HUFLVHGLSORPDWLFSURWHFWLRQLQUHVSHFWRIDGXDORU                  DOLHQV´$-,/ :DVKLQJWRQ'& YRO1R -XO\ S 
PXOWLSOHQDWLRQDO                                                       and article 21 (4) of the draft on the international responsibility of
                                                                         the State for injuries caused in its territory to the person or property
                            Commentary                                   RI DOLHQV LQFOXGLQJ WKH WKLUG UHSRUW RQ 6WDWH UHVSRQVLELOLW\ RI 6SH-
                                                                         cial Rapporteur Garcia Amador, Yearbook … , vol. II, document
                                                                         A/CN.4/111, p. 47.
(1) Dual or multiple nationality is a fact of international                   66
                                                                                 Salem FDVH (J\SW8QLWHG 6WDWHV  AZDUG RI  -XQH ,
life. An individual may acquire more than one nationality                UNRIAA, vol. II (Sales No. 1949.V.1), p. 1161, at p. 1188.
as a result of the parallel operation of the principles of jus                67
                                                                                 See the decisions of the Italian–United States Conciliation Com-
                                                                         mission in the 0HUJp claim, 10 June 1955, ILR (1955), vol. 22 (1958),
                                                                         p. 443, at p. 456, or UNRIAA, YRO ;,9 S  WKH Vereano case,
    63
       See above SDUDJUDSK   RI FRPPHQWDU\ WR WKH SUHVHQW GUDIW
article.                                                                                                                           &RQWLQXHGRQQH[WSDJH
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<pre>                            5HSRUWRIWKH,QWHUQDWLRQDO/DZ&RPPLVVLRQRQWKHZRUNRIWKH¿IW\VL[WKVHVVLRQ
Tribunal.68 The Commission’s decision not to require a                   DOVR SRVVHVVHV´69 /DWHU FRGL¿FDWLRQ SURSRVDOV DGRSWHG
JHQXLQHRUHIIHFWLYHOLQNLQVXFKFLUFXPVWDQFHVLVUHDVRQ-               a similar approach70 and there was also support for this
able. Unlike the situation in which one State of national-               position in arbitral awards.71 In 1949 in its advisory opin-
LW\PDNHVDFODLPDJDLQVWDQRWKHU6WDWHRIQDWLRQDOLW\LQ               LRQ LQ WKH FDVH FRQFHUQLQJ Reparation for injuries, the
UHVSHFWRIDGXDOQDWLRQDOWKHUHLVQRFRQÀLFWRYHUQDWLRQ-             ICJ described the practice of States not to protect their
ality where one State of nationality seeks to protect a dual             QDWLRQDOVDJDLQVWDQRWKHU6WDWHRIQDWLRQDOLW\DV³WKHRUGL-
QDWLRQDODJDLQVWDWKLUG6WDWH                                          QDU\SUDFWLFH´72
(4) In principle, there is no reason why two States of                   (3) Even before 1930, however, there was support in
QDWLRQDOLW\PD\QRWMRLQWO\H[HUFLVHDULJKWWKDWDWWDFKHV              arbitral decisions for another position, namely that the
WRHDFK6WDWHRIQDWLRQDOLW\3DUDJUDSKWKHUHIRUHUHFRJ-               6WDWHRIGRPLQDQWRUHIIHFWLYHQDWLRQDOLW\PLJKWEULQJSUR-
QL]HV WKDW WZR RU PRUH 6WDWHV RI QDWLRQDOLW\ PD\ MRLQWO\       FHHGLQJVLQUHVSHFWRIDQDWLRQDODJDLQVWDQRWKHU6WDWHRI
exercise diplomatic protection in respect of a dual or mul-              nationality.73 This jurisprudence was relied on by the ICJ
WLSOHQDWLRQDODJDLQVWD6WDWHRIZKLFKWKDWSHUVRQLVQRW              in another context in the Nottebohm case74DQGZDVJLYHQ
a national. While the responsible State cannot object to                 explicit approval by Italian–United States Conciliation
VXFK D FODLP PDGHE\ WZR RU PRUH 6WDWHVDFWLQJ VLPXO-
taneously and in concert, it may raise objections where
WKH FODLPDQW 6WDWHV EULQJ VHSDUDWH FODLPV HLWKHU EHIRUH
the same forum or different forums or where one State                        69
                                                                                See, too, article 16 (a) of the 1929 Harvard Draft Convention on
RIQDWLRQDOLW\EULQJVDFODLPDIWHUDQRWKHU6WDWHRIQDWLRQ-             5HVSRQVLELOLW\RI6WDWHVIRU'DPDJH'RQHLQ7KHLU7HUULWRU\WRWKH3HU-
ality has already received satisfaction in respect to that               VRQRU3URSHUW\RI)RUHLJQHUV$-,/ :DVKLQJWRQ'& vol. 23, special
                                                                         supplement (vol. 2) (April 1929), p. 133, at p. 200 (reproduced in Year
claim. Problems may also arise where one State of nation-                ERRN«, vol. II, document A/CN.4/96, Annex 9, p. 229, at p. 230).
DOLW\ ZDLYHV WKH ULJKW WR GLSORPDWLF SURWHFWLRQ ZKLOH                70
                                                                                See article 23 (5) of the 1960 Harvard Draft Convention on the
another State of nationality continues with its claim. It                International Responsibility of States for Injuries to Aliens (footnote 65
LVGLI¿FXOWWRFRGLI\UXOHVJRYHUQLQJYDULHGVLWXDWLRQVRI              DERYH  DQG DUWLFOH  D  RI WKH 5HVROXWLRQ RQ ³WKH QDWLRQDO FKDUDFWHU
this kind. They should be dealt with in accordance with                  of an international claim presented by a State for injury suffered by an
                                                                         LQGLYLGXDO´ DGRSWHG E\ WKH ,QVWLWXWH RI ,QWHUQDWLRQDO /DZ DW LWV 
WKHJHQHUDOSULQFLSOHVRIODZJRYHUQLQJWKHVDWLVIDFWLRQRI             Warsaw Session (LELG).
joint claims.                                                                71
                                                                                See the ([HFXWRUV RI 56&$ $OH[DQGHU v. 8QLWHG 6WDWHV case
                                                                         (1898) (United States–British Claims Commission), J. B. Moore, His
           $UWLFOH 0XOWLSOHQDWLRQDOLW\DQGFODLP                    WRU\DQG'LJHVWRIWKH,QWHUQDWLRQDO$UELWUDWLRQVWR:KLFKWKH8QLWHG
                     DJDLQVWD6WDWHRIQDWLRQDOLW\                      States Has Been a PartyYRO,,,:DVKLQJWRQ'&8QLWHG6WDWHV*RY-
                                                                         HUQPHQW3ULQWLQJ2I¿FHSWKH2OGHQERXUJcase, 'HFLVLRQ
    $6WDWHRIQDWLRQDOLW\PD\QRWH[HUFLVHGLSORPDWLF                  1RRI'HFHPEHU, UNRIAA, vol. V (Sales No. 1952.V.3),
SURWHFWLRQ LQ UHVSHFW RI D SHUVRQ DJDLQVW D 6WDWH RI           pp. 74, or 'HFLVLRQV DQG 2SLQLRQV RI WKH &RPPLVVLRQHUV  2FWREHU
                                                                          WR  )HEUXDU\  /RQGRQ + 0 6WDWLRQHU\ 2I¿FH 
ZKLFKWKDWSHUVRQLVDOVRDQDWLRQDOXQOHVVWKHQDWLRQ                  SWKHHoney case (British–Mexican Claims Commission), 'HFLVLRQ
DOLW\ RI WKH IRUPHU 6WDWH LV SUHGRPLQDQW ERWK DW WKH          1RRI0DUFK, UNRIAA, vol. V, p. 133, or )XUWKHU'HFL
WLPHRIWKHLQMXU\DQGDWWKHGDWHRIWKHRI¿FLDOSUHVHQ                VLRQVDQG2SLQLRQVRIWKH&RPPLVVLRQHUVVXEVHTXHQWWR)HEUXDU\
tation of the claim.                                                      /RQGRQ + 0 6WDWLRQHU\ 2I¿FH  S  DQG WKH $GDPV
                                                                         DQG%ODFNPRUHcase (British–Mexican Claims Commission), 'HFLVLRQ
                             Commentary                                  1RRI-XO\, UNRIAA, vol. V, p. 216–217.
                                                                             72
                                                                                Reparation for injuries VXIIHUHG LQ WKH VHUYLFH RI WKH 8QLWHG
                                                                         Nations (see footnote 29 above), p. 186.
(1) Article 7 deals with the exercise of diplomatic pro-                     73
                                                                                 'UXPPRQG case, 2 Knapp. Privy Council I, p. 295, 7KH(QJOLVK
WHFWLRQE\RQH6WDWHRIQDWLRQDOLW\DJDLQVWDQRWKHU6WDWH               ReportsYRO(GLQEXUJK/RQGRQ:LOOLDP*UHHQDQG6RQV6WHYHQV
of nationality. Whereas article 6, which deals with a                    DQG 6RQV  S  WKH 0DWKLVRQ 6WHYHQVRQ %ULWLVK±9HQH]XHODQ
FODLPLQUHVSHFWRIDGXDORUPXOWLSOHQDWLRQDODJDLQVWD               Mixed Claims Commission), %ULJQRQH DQG 0LOLDQL (Italian–Ven-
State of which the injured person is not a national, does                H]XHODQ 0L[HG &ODLPV &RPPLVVLRQ  FDVHV 815,$$ YRO ,; 6DOHV
                                                                         1R9 SSDQGDQGYRO; 6DOHV1R9 SS
not require an effective link between claimant State and                 and 584 respectively, or J. H. Ralston (ed.), 9HQH]XHODQ $UELWUDWLRQV
national, article 7 requires the claimant State to show                  RI, :DVKLQJWRQ'&8QLWHG6WDWHV*RYHUQPHQW3ULQWLQJ2I¿FH
that its nationality is predominant, both at the time of                 1904, pp. 429–438, 710, 754–761, 438–455, 710–720 and 754–762
WKHLQMXU\DQGDWWKHGDWHRIWKHRI¿FLDOSUHVHQWDWLRQRI               UHVSHFWLYHO\ WKH &DQHYDUR case (Italy Y Peru) (Permanent Court
the claim.                                                               of Arbitration), 'HFLVLRQ RI  0D\  815,$$ YRO ;, 6DOHV
                                                                         No. 61.V.4), p. 397, or J. B. Scott (ed.), The Hague Court Reports,
                                                                         1HZ<RUN2[IRUG8QLYHUVLW\3UHVVSWKHHein case, Case
   ,Q WKH SDVW WKHUH ZDV VWURQJ VXSSRUW IRU WKH UXOH         1R    $QJOR±*HUPDQ 0L[HG$UELWUDO 7ULEXQDO  - ) :LO-
RI QRQUHVSRQVLELOLW\ DFFRUGLQJ WR ZKLFK RQH 6WDWH RI            liams and H. Lauterpacht (eds.), $QQXDO 'LJHVW RI 3XEOLF ,QWHUQD
QDWLRQDOLW\ FRXOG QRW EULQJ D FODLP LQ UHVSHFW RI D GXDO      WLRQDO/DZ&DVHVWR, /RQGRQ/RQJPDQSWKH
QDWLRQDO DJDLQVW DQRWKHU 6WDWH RI QDWLRQDOLW\ 7KH           Blumenthal case (1923) (French–German Mixed Arbitral Tribunal),
&RQYHQWLRQ RQ &HUWDLQ 4XHVWLRQV 5HODWLQJ WR WKH &RQ-              5HFXHLO GHV GHFLVLRQV GHV WULEXQDX[ DUELWUDX[ PL[WHV LQVWLWXpV SDU
                                                                         OHVWUDLWpVGHSDL[WRPH3DULV6LUH\SWKHGH0RQWIRUW
ÀLFW RI 1DWLRQDOLW\ /DZ GHFODUHV LQ DUWLFOH  WKDW ³$         case, &DVH1R (1926) (French–German Mixed Arbitral Tribunal),
State may not afford diplomatic protection to one of its                 $QQXDO'LJHVWRI3XEOLF,QWHUQDWLRQDO/DZ&DVHVWR (foot-
QDWLRQDOV DJDLQVW D 6WDWH ZKRVH QDWLRQDOLW\ VXFK SHUVRQ          QRWHDERYH SWKHPinson cases, &DVHV1RDQG (1928)
                                                                         (French–Mexican Mixed Claims Commission), LELG, pp. 297–301, or
 )RRWQRWHFRQWLQXHG
                                                                         815,$$ YRO 9 6DOHV 1R 9  S  DQG WKH 7HOOHFK case
                                                                            8QLWHG 6WDWHV±$XVWULD±+XQJDU\ 7ULSDUWLWH &ODLPV &RPPLV-
0D\, UNRIAAYRO;,9SRU,/5YROSS±    sion), UNRIAA, vol. VI (Sales No. 1955.V.3), pp. 248–249.
and the 6WDQNRYLF claim, -XO\, ILR, vol. 40 (1970), p. 153, at       74
                                                                                See footnote 32 above, pp. 22 and 23. Nottebohm was not con-
p. 155.                                                                  FHUQHGZLWKGXDOQDWLRQDOLW\EXWWKH&RXUWIRXQGVXSSRUWIRULWV¿QGLQJ
    68
       See Dallal v. Iran (1983), ,UDQ±8QLWHG 6WDWHV &ODLPV 7ULEXQDO that Nottebohm had no effective link with Liechtenstein. See also the
ReportsYRO&DPEULGJH*URWLXVp. 23.                        judicial decisions referred to in footnote 73 above.
</pre>

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<pre>                                                                   Diplomatic protection                                                          
Commission in the 0HUJp claim in 1955. Here the Con-                            UHÀHFWV WKH SUHVHQW SRVLWLRQ LQ FXVWRPDU\ LQWHUQDWLRQDO
ciliation Commission stated that:                                               ODZ7KLVFRQFOXVLRQLVJLYHQHIIHFWLQDUWLFOH
    7KH SULQFLSOH EDVHG RQ WKH VRYHUHLJQ HTXDOLW\ RI 6WDWHV ZKLFK      7KH DXWKRULWLHV XVH WKH WHUP ³HIIHFWLYH´ RU ³GRPL-
excludes diplomatic protection in the case of dual nationality, must            QDQW´WRGHVFULEHWKHUHTXLUHGOLQNEHWZHHQWKHFODLPDQW
yield before the principle of effective nationality whenever such nation-
DOLW\LVWKDWRIWKHFODLPLQJ6WDWH%XWLWPXVWQRW\LHOGZKHQVXFKSUH-       State and its national in situations in which one State of
GRPLQDQFH LV QRW SURYHG EHFDXVH WKH ¿UVW RI WKHVH WZR SULQFLSOHV LV QDWLRQDOLW\EULQJVDFODLPDJDLQVWDQRWKHU6WDWHRIQDWLRQ-
JHQHUDOO\UHFRJQLVHGDQGPD\FRQVWLWXWHDFULWHULRQRISUDFWLFDODSSOLFD-       ality. The Commission decided not to use either of these
tion for the elimination of any possible uncertainty.75                         words to describe the required link but instead to use the
                                                                                WHUP³SUHGRPLQDQW´DVLWFRQYH\VWKHHOHPHQWRIUHODWLY-
In its opinion, the Conciliation Commission clearly held
                                                                                LW\DQGLQGLFDWHVWKDWWKHLQGLYLGXDOKDVVWURQJHUWLHVZLWK
that the principle of effective nationality and the concept
                                                                                RQH6WDWHUDWKHUWKDQDQRWKHU$WULEXQDOFRQVLGHULQJWKLV
of dominant nationality were simply two sides of the
                                                                                TXHVWLRQLVUHTXLUHGWREDODQFHWKHVWUHQJWKVRIFRPSHWLQJ
same coin. The rule thus adopted was applied by the Con-
                                                                                nationalities and the essence of this exercise is more accu-
ciliation Commission in over 50 subsequent cases con-
                                                                                UDWHO\FDSWXUHGE\WKHWHUP³SUHGRPLQDQW´ZKHQDSSOLHG
FHUQLQJGXDOQDWLRQDOV765HO\LQJRQWKHVHFDVHVWKH,UDQ±
                                                                                WR QDWLRQDOLW\ WKDQ HLWKHU ³HIIHFWLYH´ RU ³GRPLQDQW´ ,W
United States Claims Tribunal has applied the principle of
                                                                                is moreover the term used by the Italian–United States
dominant and effective nationality in a number of cases.77
                                                                                Conciliation Commission in the 0HUJp claim which may
$QRWKHULQVWLWXWLRQZKLFKJLYHVVXSSRUWWRWKHGRPLQDQW
                                                                                EH VHHQ DV WKH VWDUWLQJ SRLQW IRU WKH GHYHORSPHQWRI WKH
nationality principle is the United Nations Compensation
                                                                                present customary rule.82
Commission established by the Security Council to pro-
YLGHIRUFRPSHQVDWLRQIRUGDPDJHVFDXVHGE\,UDT¶VRFFX-
pation of Kuwait.78 The condition applied by the Compen-                        (6) The Commission makes no attempt to describe the
VDWLRQ&RPPLVVLRQIRUFRQVLGHULQJFODLPVRIGXDOFLWL]HQV                      IDFWRUVWREHWDNHQLQWRDFFRXQWLQGHFLGLQJZKLFKQDWLRQ-
SRVVHVVLQJ,UDTLQDWLRQDOLW\LVWKDWWKH\PXVWSRVVHVVERQD                    ality is predominant. The authorities indicate that such
¿GHQDWLRQDOLW\RIDQRWKHU6WDWH795HFHQWFRGL¿FDWLRQSUR-                     factors include habitual residence, the amount of time
SRVDOVKDYHJLYHQDSSURYDOWRWKLVDSSURDFK,QKLVWKLUG                      VSHQWLQHDFKFRXQWU\RIQDWLRQDOLW\GDWHRIQDWXUDOL]DWLRQ
report on international responsibility to the Commission,                        LH WKH OHQJWK RI WKH SHULRG VSHQW DV D QDWLRQDO RI WKH
Special Rapporteur Garcia Amador proposed that:                                 SURWHFWLQJ6WDWHEHIRUHWKHFODLPDURVH SODFHFXUULFX
                                                                                ODDQGODQJXDJHRIHGXFDWLRQHPSOR\PHQWDQG¿QDQFLDO
    ,QFDVHVRIGXDORUPXOWLSOHQDWLRQDOLW\WKHULJKWWREULQJDFODLP       LQWHUHVWVSODFHRIIDPLO\OLIHIDPLO\WLHVLQHDFKFRXQWU\
shall be exercisable only by the State with which the alien has the             SDUWLFLSDWLRQ LQ VRFLDO DQG SXEOLF OLIH XVH RI ODQJXDJH
VWURQJHUDQGPRUHJHQXLQHOHJDORURWKHUWLHV80                                WD[DWLRQEDQNDFFRXQWVVRFLDOVHFXULW\LQVXUDQFHYLVLWV
                                                                                WR WKH RWKHU 6WDWH RI QDWLRQDOLW\ SRVVHVVLRQ DQG XVH RI
$ VLPLODU YLHZ ZDV DGYDQFHG E\ 2UUHJR 9LFXxD LQ KLV                   SDVVSRUW RI WKH RWKHU 6WDWH DQG PLOLWDU\ VHUYLFH 1RQH
report to the International Law Association at its sixty-                       RI WKHVH IDFWRUV LV GHFLVLYH DQG WKH ZHLJKW DWWULEXWHG WR
ninth Conference.81                                                             HDFKIDFWRUZLOOYDU\DFFRUGLQJWRWKHFLUFXPVWDQFHVRI
                                                                                each case.
(4) The Commission is of the opinion that the principle
which allows a State of dominant or effective national-
LW\ WR EULQJ D FODLP DJDLQVW DQRWKHU 6WDWH RI QDWLRQDOLW\                $UWLFOHLVIUDPHGLQQHJDWLYHODQJXDJH³$6WDWHRI
                                                                                nationality may not H[HUFLVH GLSORPDWLF SURWHFWLRQ >«@
                                                                                unless´LWVQDWLRQDOLW\LVSUHGRPLQDQW7KLVLVLQWHQGHGWR
                                                                                VKRZWKDWWKHFLUFXPVWDQFHVHQYLVDJHGE\DUWLFOHDUHWR
    75
        0HUJp(see footnote 67 above), p. 247. See also the De Leon case,       EHUHJDUGHGDVH[FHSWLRQDO7KLVDOVRPDNHVLWFOHDUWKDW
'HFLVLRQV1RVDQG, 15 May 1962 and 8 April 1963, UNRIAA,               the burden of proof is on the claimant State to prove that
YRO;9, 6DOHV1R()9 SDWS.                             its nationality is predominant.
    76
        See, for example the 6SDXOGLQJFDVH  815,$$YRO;,9
 6DOHV1R9 SRU,/5  YRO  SWKHZan
grilliFDVH  815,$$YRO;,9SRU,/5YROSWKH
                                                                                   7KHPDLQREMHFWLRQWRDFODLPEURXJKWE\RQH6WDWH
CestraFDVH  815,$$YRO;,9SRU,/5YROS         RIQDWLRQDOLW\DJDLQVWDQRWKHU6WDWHRIQDWLRQDOLW\LVWKDW
the 6DOYRQL FDVH   815,$$ YRO ;,9 S  RU ,/5 YRO   WKLVPLJKWSHUPLWD6WDWHZLWKZKLFKWKHLQGLYLGXDOKDV
SWKH5XVSROL'URXW]NR\FDVH  815,$$YRO;,9SRU        established a predominant nationality subsequent to an
,/5YROSWKH3XFFLQLFDVH  815,$$YRO;,9S       LQMXU\LQÀLFWHGE\WKHRWKHU6WDWHRIQDWLRQDOLW\WREULQJ
RU,/5YROSWKHTurriFDVH  ,/5YRO  S
the GranieroFDVH  815,$$YRO;,9SRU,/5YRO           DFODLPDJDLQVWWKDW6WDWH7KLVREMHFWLRQLVRYHUFRPHE\
SWKHGanapiniFDVH  815,$$YRO;,9SRU,/5            the requirement that the nationality of the claimant State
YROSDQGWKH'L&LFLR case (1962), ILR, vol. 40 (1970), p. 148.     must be predominant both at the time of the injury and
    77
        See, in particular, (VSKDKDQLDQ v. Bank Tejarat (1983), ,UDQ±          DWWKHGDWHRIWKHRI¿FLDOSUHVHQWDWLRQRIWKHFODLP7KLV
8QLWHG 6WDWHV &ODLPV 7ULEXQDO 5HSRUWV, vol. 2, &DPEULGJH *URWLXV        UHTXLUHPHQW HFKRHV WKH SULQFLSOH DI¿UPHG LQ DUWLFOH 
1984, p. 157, at p. 166DQG&DVH1R$ (1984), LELG, vol. 5, p. 251.
    78
                                                                                SDUDJUDSKRQWKHVXEMHFWRIFRQWLQXRXVQDWLRQDOLW\7KH
         Security Council Resolution 692 (1991) of 20 May 1991.
                                                                                SKUDVHV³DWWKHWLPHRIWKHLQMXU\´DQG³DWWKHGDWHRIWKH
    79
        'HFLVLRQWDNHQE\WKH*RYHUQLQJ&RXQFLORIWKH8QLWHG1DWLRQV
Compensation Commission, of 16 March 1992, “Criteria for additional
                                                                                RI¿FLDO SUHVHQWDWLRQ RI WKH FODLP´ DUH H[SODLQHG LQ WKH
&DWHJRULHVRI&ODLPV´ 6$&5HY SDUD11.                         commentary on this article. The exception to the continu-
    80
        Draft on the international responsibility of the State for injuries     RXVQDWLRQDOLW\UXOHFRQWDLQHGLQDUWLFOHSDUDJUDSKLV
caused in its territory to the person or property of aliens (see foot-          not applicable here, as the injured person contemplated
note 65 above), art. 21 (4).                                                    in article 7 will not have lost his or her other nationality.
    81
       ³7KH FKDQJLQJ ODZ RI QDWLRQDOLW\ RI FODLPV´ ,QWHULP 5HSRUW
5HSRUWRIWKH6L[W\QLQWK&RQIHUHQFHRIWKH,QWHUQDWLRQDO/DZ$VVRFLD
                                                                                    82
tion, London, 2000, p. 646, para. 11.                                                  See footnote 67 above.
</pre>

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<pre>                            5HSRUWRIWKH,QWHUQDWLRQDO/DZ&RPPLVVLRQRQWKHZRUNRIWKH¿IW\VL[WKVHVVLRQ
          $UWLFOH 6WDWHOHVVSHUVRQVDQGUHIXJHHV                     or she was lawfully and habitually resident in that State
                                                                         ERWK DW WKH WLPH RI LQMXU\ DQG DW WKH GDWH RI WKH RI¿FLDO
     $ 6WDWH PD\ H[HUFLVH GLSORPDWLF SURWHFWLRQ LQ             presentation of the claim.
UHVSHFW RI D VWDWHOHVV SHUVRQ ZKR DW WKH WLPH RI WKH
LQMXU\ DQG DW WKH GDWH RI WKH RI¿FLDO SUHVHQWDWLRQ RI          (4) The requirement of both lawful residence and
WKHFODLPLVODZIXOO\DQGKDELWXDOO\UHVLGHQWLQWKDW                  KDELWXDOUHVLGHQFHVHWVDKLJKWKUHVKROG84 Whereas some
State.                                                                   members of the Commission believed that this threshold
                                                                         LVWRRKLJKDQGFRXOGOHDGWRDVLWXDWLRQRIODFNRIHIIHF-
     $ 6WDWH PD\ H[HUFLVH GLSORPDWLF SURWHFWLRQ LQ             tive protection for the individuals involved, the majority
UHVSHFWRIDSHUVRQZKRLVUHFRJQL]HGDVDUHIXJHHE\                   took the view that the combination of lawful residence
WKDW6WDWHZKHQWKDWSHUVRQDWWKHWLPHRILQMXU\DQG                  DQGKDELWXDOUHVLGHQFHLVMXVWL¿HGLQWKHFDVHRIDQH[FHS-
DWWKHGDWHRIWKHRI¿FLDOSUHVHQWDWLRQRIWKHFODLPLV                tional measure introduced GHOHJHIHUHQGD.
ODZIXOO\DQGKDELWXDOO\UHVLGHQWLQWKDW6WDWH
                                                                            7KH WHPSRUDO UHTXLUHPHQWV IRU WKH EULQJLQJ RI D
     3DUDJUDSK  GRHV QRW DSSO\ LQ UHVSHFW RI DQ             FODLPFRQWDLQHGLQDUWLFOHDUHUHSHDWHGLQSDUDJUDSK
LQMXU\FDXVHGE\DQLQWHUQDWLRQDOO\ZURQJIXODFWRIWKH                 The stateless person must be a lawful and habitual resi-
6WDWHRIQDWLRQDOLW\RIWKHUHIXJHH                                     dent of the claimant State both at the time of the injury
                                                                         DQG DW WKH GDWH RI WKH RI¿FLDO SUHVHQWDWLRQ RI WKH FODLP
                              Commentary                                 This ensures that non-nationals are subject to the same
                                                                         rules as nationals in respect of the temporal requirements
   7KH JHQHUDO UXOH ZDV WKDW D 6WDWH PLJKW H[HUFLVH           IRUWKHEULQJLQJRIDFODLP
diplomatic protection on behalf of its nationals only. In
1931 the United States–Mexican Claims Commission in                         3DUDJUDSKGHDOVZLWKWKHGLSORPDWLFSURWHFWLRQRI
'LFNVRQ &DU :KHHO &RPSDQ\ v. 8QLWHG 0H[LFDQ 6WDWHV                UHIXJHHV E\ WKHLU 6WDWH RI UHVLGHQFH 'LSORPDWLF SURWHF-
KHOGWKDWDVWDWHOHVVSHUVRQFRXOGQRWEHWKHEHQH¿FLDU\RI             tion by the State of residence is particularly important in
diplomatic protection when it stated:                                    WKH FDVH RI UHIXJHHV DV WKH\ DUH ³XQDEOH RU >«@ XQZLOO-
                                                                         LQJ WR DYDLO >WKHPVHOYHV@ RI WKH SURWHFWLRQ RI >WKH 6WDWH
    $6WDWH>«@GRHVQRWFRPPLWDQLQWHUQDWLRQDOGHOLQTXHQF\LQLQÀLFW-  RIQDWLRQDOLW\@´85DQGLIWKH\GRVRUXQWKHULVNRIORVLQJ
LQJDQLQMXU\XSRQDQLQGLYLGXDOODFNLQJQDWLRQDOLW\DQGFRQVHTXHQWO\ UHIXJHHVWDWXVLQWKH6WDWHRIUHVLGHQFH3DUDJUDSKPLU-
no State is empowered to intervene or complain on his behalf either
before or after the injury.83                                            URUV WKH ODQJXDJH RI SDUDJUDSK  ,PSRUWDQW GLIIHUHQFHV
                                                                         EHWZHHQVWDWHOHVVSHUVRQVDQGUHIXJHHVDVHYLGHQFHGE\
7KLV GLFWXP QR ORQJHU UHÀHFWV WKH DFFXUDWH SRVLWLRQ RI          SDUDJUDSK  H[SODLQ WKH GHFLVLRQ RI WKH &RPPLVVLRQ WR
LQWHUQDWLRQDOODZIRUERWKVWDWHOHVVSHUVRQVDQGUHIXJHHV              DOORFDWHDVHSDUDWHSDUDJUDSKWRHDFKFDWHJRU\
&RQWHPSRUDU\LQWHUQDWLRQDOODZUHÀHFWVDFRQFHUQIRUWKH
VWDWXVRIERWKFDWHJRULHVRISHUVRQV7KLVLVHYLGHQFHGE\              (7) The Commission decided to insist on lawful resi-
such conventions as the Convention on the Reduction of                   dence and habitual residence as preconditions for the exer-
6WDWHOHVVQHVVRIDQGWKH&RQYHQWLRQUHODWLQJWRWKH                FLVHRIGLSORPDWLFSURWHFWLRQRIUHIXJHHVDVZLWKVWDWHOHVV
6WDWXVRI5HIXJHHVRI                                              persons, despite the fact that article 28 of the Convention
                                                                         UHODWLQJWRWKH6WDWXVRI5HIXJHHVVHWVWKHORZHUWKUHVKROG
   $UWLFOHDQH[HUFLVHLQSURJUHVVLYHGHYHORSPHQWRI               RI³ODZIXOO\VWD\LQJ´86IRU&RQWUDFWLQJ6WDWHVLQWKHLVVX-
the law, departs from the traditional rule that only nation-             LQJRIWUDYHOGRFXPHQWVWRUHIXJHHV7KH&RPPLVVLRQZDV
DOV PD\ EHQH¿W IURP WKH H[HUFLVH RI GLSORPDWLF SURWHF-           LQÀXHQFHGE\WZRIDFWRUVLQUHDFKLQJWKLVGHFLVLRQ¿UVW
tion and allows a State to exercise diplomatic protection                the fact that the issue of travel documents, in terms of the
in respect of a non-national where that person is either a               Convention, does not in any way entitle the holder to dip-
VWDWHOHVVSHUVRQRUDUHIXJHH$OWKRXJKWKH&RPPLVVLRQ                  ORPDWLFSURWHFWLRQ87VHFRQGO\WKHQHFHVVLW\WRVHWDKLJK
KDV DFWHG ZLWKLQ WKH IUDPHZRUN RI WKH UXOHV JRYHUQLQJ           WKUHVKROGZKHQLQWURGXFLQJDQH[FHSWLRQWRDWUDGLWLRQDO
VWDWHOHVVQHVVDQGUHIXJHHVLWKDVPDGHQRDWWHPSWWRSUR-               rule, GHOHJHIHUHQGD. Some members of the Commission
nounce on the status of such persons. It is concerned only               DUJXHGWKDWWKHWKUHVKROGRIODZIXODQGKDELWXDOUHVLGHQFH
with the issue of the exercise of the diplomatic protection              as preconditions for the exercise of diplomatic protection
of such persons.                                                         ZDVWRRKLJKDOVRLQFDVHRIUHIXJHHV88
   3DUDJUDSKGHDOVZLWKWKHGLSORPDWLFSURWHFWLRQRI                   7KH WHUP ³UHIXJHH´ LQ SDUDJUDSK  LV QRW OLPLWHG
VWDWHOHVV SHUVRQV ,W JLYHV QR GH¿QLWLRQ RI VWDWHOHVV SHU-       WR UHIXJHHV DV GH¿QHG LQ WKH &RQYHQWLRQ UHODWLQJ WR WKH
VRQV 6XFK D GH¿QLWLRQ LV KRZHYHU WR EH IRXQG LQ WKH
&RQYHQWLRQ 5HODWLQJ WR WKH VWDWXV RI 6WDWHOHVV 3HUVRQV               84
                                                                               7KHWHUPV³ODZIXODQGKDELWXDO´UHVLGHQFHDUHEDVHGRQWKH(XUR-
ZKLFKGH¿QHVDVWDWHOHVVSHUVRQDV³DSHUVRQZKRLVQRW                 pean Convention on Nationality, art. 6 (4) (g), where they are used in
considered as a national by any State under the operation                connection with the acquisition of nationality. See also the Harvard
RILWVODZ´7KLVGH¿QLWLRQFDQQRGRXEWEHFRQVLGHUHGDV               Draft Convention on the International Responsibility of States for Inju-
KDYLQJDFTXLUHGDFXVWRPDU\QDWXUH$6WDWHPD\H[HUFLVH                ries to Aliens (footnote 65 above), which includes for the purpose of
                                                                         SURWHFWLRQXQGHUWKLV&RQYHQWLRQD³VWDWHOHVVSHUVRQKDYLQJKLVKDELWXDO
GLSORPDWLFSURWHFWLRQLQUHVSHFWRIVXFKDSHUVRQUHJDUG-               UHVLGHQFHLQWKDW6WDWH´DUW   F).
less of how he or she became stateless, provided that he                     85
                                                                               $UW $   RIWKH&RQYHQWLRQUHODWLQJWRWKH6WDWXVRI5HIXJHHV
                                                                             86
                                                                                The WUDYDX[ SUpSDUDWRLUHV of the Convention make it clear that
                                                                         ³VWD\´PHDQVOHVVWKDQGXUDEOHUHVLGHQFH
    83
       'LFNVRQ&DU:KHHO Company 86$ v. 8QLWHG0H[LFDQ6WDWHV
-XGJPHQWRI-XO\ UNRIAA, vol. IV (Sales No. 1951.V.1), p. 669,
                                                                             87
                                                                               6HHSDUDJUDSKRIWKH6FKHGXOHWRWKH&RQYHQWLRQ
at p. 678.                                                                   88
                                                                               6HHDERYHSDUDJUDSK  RIWKHFRPPHQWDU\WRWKLVGUDIWDUWLFOH
</pre>

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<pre>                                                                   Diplomatic protection                                                           
6WDWXVRI5HIXJHHVDQGLWV3URWRFROUHODWLQJWRWKH6WDWXV                     nationality upon such persons. The exercise of diplomatic
RI5HIXJHHVEXWLVLQWHQGHGWRFRYHULQDGGLWLRQSHUVRQV                     SURWHFWLRQLQUHVSHFWRIDVWDWHOHVVSHUVRQRUUHIXJHHFDQ-
ZKRGRQRWVWULFWO\FRQIRUPWRWKLVGH¿QLWLRQ7KH&RP-                         QRWDQGVKRXOGQRWEHVHHQDVJLYLQJULVHWRDOHJLWLPDWH
PLVVLRQFRQVLGHUHGXVLQJWKHWHUP³UHFRJQL]HGUHIXJHHV´                       expectation of the conferment of nationality. Article 28 of
which appears in article 6 (4) (g) of the European Con-                         WKH &RQYHQWLRQ UHODWLQJ WR WKH 6WDWXV RI 5HIXJHHV UHDG
vention on Nationality, which would have extended the                           ZLWKSDUDJUDSKRILWV6FKHGXOHPDNHVLWFOHDUWKDWWKH
FRQFHSWWRLQFOXGHUHIXJHHVUHFRJQL]HGE\UHJLRQDOLQVWUX-                      LVVXHRIDWUDYHOGRFXPHQWWRDUHIXJHHGRHVQRWDIIHFWWKH
PHQWVVXFKDVWKH2UJDQL]DWLRQRI$IULFDQ8QLW\&RQYHQ-                        nationality of the holder. A fortiori the exercise of dip-
WLRQ JRYHUQLQJ WKH VSHFL¿F DVSHFWV RI UHIXJHH SUREOHPV                  ORPDWLFSURWHFWLRQ LQ UHVSHFW RI D UHIXJHH RU D VWDWHOHVV
in Africa,89 widely seen as the model for the international                     SHUVRQ VKRXOG LQ QR ZD\ EH FRQVWUXHG DV DIIHFWLQJ WKH
SURWHFWLRQ RI UHIXJHHV90 DQG WKH &DUWDJHQD 'HFODUDWLRQ                  nationality of the protected person.
RQ5HIXJHHV91 However, the Commission preferred to set
no limit to the term in order to allow a State to extend                                                     CHAPTER III
diplomatic protection to any person that it considered and
WUHDWHGDVDUHIXJHH7KLVZRXOGEHRISDUWLFXODULPSRU-                                                 LEGAL PERSONS
WDQFHIRUUHIXJHHVLQ6WDWHVQRWSDUW\WRWKHH[LVWLQJLQWHU-
QDWLRQDORUUHJLRQDOLQVWUXPHQWV                                                     Article 9. 6WDWHRIQDWLRQDOLW\RIDFRUSRUDWLRQ
   7KH WHPSRUDO UHTXLUHPHQWV IRU WKH EULQJLQJ RI D                       )RUWKHSXUSRVHVRIGLSORPDWLFSURWHFWLRQRIFRUSR
FODLPFRQWDLQHGLQDUWLFOHDUHUHSHDWHGLQSDUDJUDSK                      UDWLRQVWKH6WDWHRIQDWLRQDOLW\PHDQVWKH6WDWHXQGHU
7KHUHIXJHHPXVWEHDODZIXODQGKDELWXDOUHVLGHQWRIWKH                      ZKRVHODZWKHFRUSRUDWLRQZDVIRUPHGDQGLQZKRVH
claimant State both at the time of the injury and at the date                   WHUULWRU\ LW KDV LWV UHJLVWHUHG RI¿FH RU WKH VHDW RI LWV
RIWKHRI¿FLDOSUHVHQWDWLRQRIWKHFODLP                                       PDQDJHPHQWRUVRPHVLPLODUFRQQHFWLRQ
   3DUDJUDSKSURYLGHVWKDWWKH6WDWHRIUHIXJHPD\                                                    Commentary
QRWH[HUFLVHGLSORPDWLFSURWHFWLRQLQUHVSHFWRIDUHIXJHH
DJDLQVWWKH6WDWHRIQDWLRQDOLW\RIWKHUHIXJHH7RKDYHSHU-                      'UDIWDUWLFOHUHFRJQL]HVWKDWGLSORPDWLFSURWHFWLRQ
mitted this would have contradicted the basic approach of                       PD\EHH[WHQGHGWRFRUSRUDWLRQV7KH¿UVWSDUWRIWKHDUWL-
WKHSUHVHQWDUWLFOHVDFFRUGLQJWRZKLFKQDWLRQDOLW\LVWKH                    FOHUHSHDWVWKHODQJXDJHRIGUDIWDUWLFOHRQWKHVXEMHFWRI
predominant basis for the exercise of diplomatic protec-                        the diplomatic protection of natural persons. The provi-
WLRQ 7KH SDUDJUDSK LV DOVR MXVWL¿HG RQ SROLF\ JURXQGV                sion makes it clear that in order to qualify as the State of
0RVWUHIXJHHVKDYHVHULRXVFRPSODLQWVDERXWWKHLUWUHDW-                        nationality for the purposes of diplomatic protection of a
ment at the hand of their State of nationality, from which                      corporation, certain conditions must be met, as is the case
WKH\KDYHÀHGWRDYRLGSHUVHFXWLRQ7RDOORZGLSORPDWLF                        with the diplomatic protection of natural persons.
SURWHFWLRQLQVXFKFDVHVZRXOGEHWRRSHQWKHÀRRGJDWHV
IRULQWHUQDWLRQDOOLWLJDWLRQ0RUHRYHUWKHIHDURIGHPDQGV                       6WDWH SUDFWLFH LV ODUJHO\ FRQFHUQHG ZLWK WKH GLSOR-
IRU VXFK DFWLRQ E\ UHIXJHHV PLJKW GHWHU 6WDWHV IURP                    PDWLF SURWHFWLRQ RI FRUSRUDWLRQV WKDW LV SUR¿WPDNLQJ
DFFHSWLQJUHIXJHHV                                                             enterprises with limited liability whose capital is repre-
                                                                                VHQWHGE\VKDUHVDQGQRWRWKHUOHJDOSHUVRQV7KLVH[SODLQV
   %RWKSDUDJUDSKVDQGSURYLGHWKDWD6WDWHRIUHI-                      why the present article, and those that follow, are con-
XJH ³may H[HUFLVH GLSORPDWLF SURWHFWLRQ´ 7KLV HPSKD-                     cerned with the diplomatic protection of corporations and
VL]HV WKH GLVFUHWLRQDU\ QDWXUH RI WKH ULJKW $ 6WDWH KDV              shareholders in corporations. Draft article 13 is devoted
discretion under international law whether to exercise                          WRWKHSRVLWLRQRIOHJDOSHUVRQVRWKHUWKDQFRUSRUDWLRQV
diplomatic protection in respect of a national.92 A fortiori
it has discretion whether to extend such protection to a                           :KLOH WKH JUDQWLQJ RI QDWLRQDOLW\ LV ³ZLWKLQ WKH
VWDWHOHVVSHUVRQRUUHIXJHH                                                    UHVHUYHGGRPDLQ´93 of a State, international law, accord-
                                                                                LQJWRWKH,&-LQWKH%DUFHORQD7UDFWLRQ case, “attributes
(12) The Commission stresses that article 8 is concerned                        WKH ULJKW RI GLSORPDWLF SURWHFWLRQ RI D FRUSRUDWH HQWLW\
only with the diplomatic protection of stateless persons                        to the State under the laws of which it is incorporated
DQGUHIXJHHV,WLVnot concerned with the conferment of                        DQGLQZKRVHWHUULWRU\LWKDVLWVUHJLVWHUHGRI¿FH´94 Two
                                                                                conditions are set for the acquisition of nationality by a
    89
       7KLV &RQYHQWLRQ H[WHQGV WKH GH¿QLWLRQ RI UHIXJHH WR LQFOXGH
                                                                                corporation for the purposes of diplomatic protection:
³HYHU\SHUVRQZKRRZLQJWRH[WHUQDODJJUHVVLRQRFFXSDWLRQIRUHLJQ           LQFRUSRUDWLRQ DQG WKH SUHVHQFH RI WKH UHJLVWHUHG RI¿FH
GRPLQDWLRQ RU HYHQWV VHULRXVO\ GLVWXUELQJ SXEOLF RUGHU LQ HLWKHU SDUW of the company in the State of incorporation. In practice
RUZKROHRIKLVFRXQWU\RIRULJLQRUQDWLRQDOLW\LVFRPSHOOHGWROHDYH        the laws of most States require a company incorporated
KLVSODFHRIKDELWXDOUHVLGHQFHLQRUGHUWRVHHNUHIXJHLQDQRWKHUSODFH       XQGHULWVODZVWRPDLQWDLQDUHJLVWHUHGRI¿FHLQLWVWHUUL-
RXWVLGHKLVFRXQWU\RIRULJLQRUQDWLRQDOLW\´ DUW, 
    90
                                                                                WRU\WKXVWKHDGGLWLRQDOUHTXLUHPHQWRIUHJLVWHUHGRI¿FH
        Note on International Protection submitted by the United Nations
+LJK&RPPLVVLRQHUIRU5HIXJHHV $$& SSDUD                  PLJKWVHHPVXSHUÀXRXV1HYHUWKHOHVVWKH&RXUWPDGHLW
    91
        Adopted by the Colloquium on the International Protection of            clear that both conditions should be met when it stated:
5HIXJHHVLQ&HQWUDO$PHULFD0H[LFRDQG3DQDPDKHOGDW&DUWDJHQD             ³7KHVH WZR FULWHULD KDYH EHHQ FRQ¿UPHG E\ ORQJ SUDF-
&RORPELD IURP ± 1RYHPEHU  WKH WH[W RI WKH FRQFOXVLRQV
of the Declaration is reproduced in OEA/Ser.L/V/II.66 doc.10 rev.1.
2UJDQL]DWLRQRI$PHULFDQ6WDWHV*HQHUDO$VVHPEO\;95HJXODU6HV-                  93
                                                                                      1DWLRQDOLW\'HFUHHV,VVXHGLQ7XQLVDQG0RURFFR(see footnote 42
sion (1985), resolution approved by the General Commission held at its          above), p. 24.
¿IWKVHVVLRQRQ'HFHPEHU                                                   94
                                                                                      %DUFHORQD 7UDFWLRQ 6HFRQG 3KDVH 'HFLVLRQ (see footnote 40
    92
        See article 2 and the commentary thereto.                               above), p. 43, para. 70.
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<pre>                            5HSRUWRIWKH,QWHUQDWLRQDO/DZ&RPPLVVLRQRQWKHZRUNRIWKH¿IW\VL[WKVHVVLRQ
WLFHDQGE\QXPHURXVLQWHUQDWLRQDOLQVWUXPHQWV´95 With                     LWVERDUGPHHWLQJVWKHUHIRUPDQ\\HDUV99 Article 9 does
WKHUHTXLUHPHQWRIDUHJLVWHUHGRI¿FHWKH&RXUWSRVVLEO\                  QRW UHTXLUH WKH H[LVWHQFH RI D JHQXLQH OLQN EHWZHHQ WKH
VRXJKWWRUHFRJQL]HWKHQHHGIRUVRPHWDQJLEOHFRQQHF-                      FRUSRUDWLRQDQGSURWHFWLQJ6WDWHRIWKHNLQGDGYRFDWHGE\
tion, however small, between State and company. This                        %HOJLXPLQ%DUFHORQD7UDFWLRQ. Moreover, it rejects the
LV FRQ¿UPHG E\ WKH HPSKDVLV LW SODFHG RQ WKH IDFW WKDW           QRWLRQ RI D JHQXLQH OLQN DV D QHFHVVDU\ FRQQHFWLQJ IDF-
%DUFHORQD7UDFWLRQ¶VUHJLVWHUHGRI¿FHZDVLQ&DQDGDDQG                    tor in the context of the diplomatic protection of corpora-
WKDWWKLVFUHDWHGWRJHWKHUZLWKRWKHUIDFWRUVD³FORVHDQG               WLRQVDVWKLVPLJKWUHVXOWLQWKHVWDWHOHVVQHVVRIFRUSRUD-
SHUPDQHQWFRQQHFWLRQ´96 between Canada and Barcelona                        WLRQV IRUPHG LQ RQH 6WDWH ZLWK D PDMRULW\ VKDUHKROGLQJ
Traction.                                                                   LQDQRWKHU6WDWH,WZDVWKHSUHYDLOLQJYLHZLQWKH&RP-
                                                                            PLVVLRQ WKDW WKH UHJLVWHUHG RI¿FH VHDW RI PDQDJHPHQW
   $UWLFOHXVHVWKHWHUP³IRUPHG´LQVWHDGRI³LQFRU-                    ³RU >«@ VRPH VLPLODU FRQQHFWLRQ´ VKRXOG QRW WKHUHIRUH
SRUDWHG´ DV ³LQFRUSRUDWHG´ LV D WHFKQLFDO WHUP WKDW LV            EHVHHQDVIRUPVRIDJHQXLQHOLQNSDUWLFXODUO\LQVRIDUDV
QRW NQRZQ WR DOO OHJDO V\VWHPV 1HYHUWKHOHVV ³IRUPHG´              WKLVWHUPLVXQGHUVWRRGWRUHTXLUHPDMRULW\VKDUHKROGLQJ
clearly includes the concept of incorporation, as well as                   DVDFRQQHFWLQJIDFWRU
WKDWRIUHJLVWUDWLRQLQDGGLWLRQWRRWKHUPHDQVWKDWPLJKW
be employed by a State to create a corporation. The “for-                      7KHSKUDVH³RU>«@VRPHVLPLODUFRQQHFWLRQ´PXVW
PDWLRQ´ RULQFRUSRUDWLRQ RIDFRUSRUDWLRQXQGHUWKHODZV                 EHUHDGLQWKHFRQWH[WRIWKH³UHJLVWHUHGRI¿FHRUWKHVHDW
RIDSDUWLFXODU6WDWHGRHVQRWVXI¿FHIRUWKHSXUSRVHVRI                  RI LWV PDQDJHPHQW´ LQ DFFRUGDQFH ZLWK WKH HMXVGHP
diplomatic protection. In addition, there must be some                      generis UXOH RI LQWHUSUHWDWLRQ ZKLFK UHTXLUHV D JHQHUDO
WDQJLEOHFRQQHFWLRQZLWKWKH6WDWHLQZKLFKWKHFRUSRUD-                    phrase of this kind to be interpreted narrowly to accord
WLRQLVIRUPHGLQWKHIRUPRIDUHJLVWHUHGRI¿FHRUVHDWRI               with the phrases that precede it. This means that the
PDQDJHPHQW VLqJHVRFLDO) or a similar connection. This                     phrase is to have no life of its own. It must refer to some
ODQJXDJHVHHNVWRJLYHHIIHFWWRWKHLQVLVWHQFHRIWKH,&-                 FRQQHFWLRQVLPLODUWRWKDWRI³UHJLVWHUHGRI¿FH´RU³VHDW
in %DUFHORQD7UDFWLRQWKDWWKHUHEHVRPHFRQQHFWLQJIDF-                    RIPDQDJHPHQW´
tor between the State in which the company is formed and
WKHFRPSDQ\³&ORVHDQGSHUPDQHQWFRQQHFWLRQ´WKHODQ-                        ,Q FRQWUDVW ZLWK DUWLFOH DUWLFOH VSHDNV RI³WKH´
JXDJHHPSOR\HGE\WKH&RXUWWRGHVFULEHWKHOLQNEHWZHHQ                   6WDWHRIQDWLRQDOLW\DVPHDQLQJ³WKH´6WDWHXQGHUZKRVH
the Barcelona Traction company and Canada, is not used,                     ODZ WKH FRUSRUDWLRQ ZDV IRUPHG 7KLV ODQJXDJH LV XVHG
DVWKLVZRXOGVHWWRRKLJKDWKUHVKROGIRUWKHFRQQHFWLQJ                  WR DYRLG DQ\ VXJJHVWLRQ WKDW D FRUSRUDWLRQ PLJKW KDYH
IDFWRU,QVWHDG³UHJLVWHUHGRI¿FH´WKHFRQQHFWLQJIDFWRU                 dual nationality. As multiple nationality is possible in the
required by the Court in addition to incorporation, is pre-                 FDVH RI QDWXUDO SHUVRQV DUWLFOH  VSHDNV RI ³D´ 6WDWH RI
IHUUHG$V VRPH OHJDO V\VWHPV GR QRW UHTXLUH UHJLVWHUHG             nationality. Some members of the Commission did not
RI¿FHVEXWVRPHRWKHUFRQQHFWLRQ³VHDWRIPDQDJHPHQW                     DJUHHZLWKWKHYLHZWKDWFRUSRUDWLRQVFDQRQO\KDYHRQH
RU >«@ VRPH VLPLODU FRQQHFWLRQ´ DUH XVHG DV DOWHUQD-                nationality.
tives. Generally, article 9 requires a relationship between
WKH FRUSRUDWLRQ DQG WKH 6WDWH ZKLFK JRHV EH\RQG PHUH                $UWLFOH &RQWLQXRXVQDWLRQDOLW\RIDFRUSRUDWLRQ
IRUPDWLRQRULQFRUSRUDWLRQDQGLVFKDUDFWHUL]HGE\VRPH
DGGLWLRQDO FRQQHFWLQJ IDFWRU7KLV UHODWLRQVKLS ZKLFK LV                  $6WDWHLVHQWLWOHGWRH[HUFLVHGLSORPDWLFSURWHF
JRYHUQHGE\WKHPXQLFLSDOODZRIWKH6WDWHWKDWVHHNVWR                   tion in respect of a corporation which was its national
exercise diplomatic protection, may be described in dif-                    DWWKHWLPHRIWKHLQMXU\DQGLVLWVQDWLRQDODWWKHGDWH
IHUHQWWHUPVE\GLIIHUHQWOHJDOV\VWHPV97                                  RIWKHRI¿FLDOSUHVHQWDWLRQRIWKHFODLP
(5) In %DUFHORQD 7UDFWLRQ the State of nationality of                           1RWZLWKVWDQGLQJSDUDJUDSKD6WDWHFRQWLQXHV
WKH PDMRULW\ VKDUHKROGHUV %HOJLXP  DUJXHG WKDW LW ZDV               WR EH HQWLWOHG WR H[HUFLVH GLSORPDWLF SURWHFWLRQ LQ
entitled to exercise diplomatic protection in respect of                    respect of a corporation which was its national at the
WKHFRUSRUDWLRQEHFDXVHLWVVKDUHKROGLQJJDYHLWDJHQX-                    WLPHRIWKHLQMXU\DQGZKLFKDVWKHUHVXOWRIWKHLQMXU\
LQH OLQN ZLWK WKH FRUSRUDWLRQ RI WKH NLQG UHFRJQL]HG LQ           KDVFHDVHGWRH[LVWDFFRUGLQJWRWKHODZRIWKDW6WDWH
the Nottebohm case.98,QUHMHFWLQJWKLVDUJXPHQWWKH,&-
GHFOLQHGWRGLVPLVVWKHDSSOLFDWLRQRIWKHJHQXLQHOLQNWHVW                                           Commentary
to corporations and held that LQFDVX there was “a close
DQG SHUPDQHQW´ OLQN EHWZHHQ %DUFHORQD 7UDFWLRQ DQG                      7KHJHQHUDOSULQFLSOHVUHODWLQJWRWKHUHTXLUHPHQWRI
&DQDGDDVLWKDGLWVUHJLVWHUHGRI¿FHWKHUHDQGKDGKHOG                  continuous nationality are discussed in the commentary
                                                                            to article 5. In practice, problems of continuous national-
    95
       ,ELG                                                                ity arise less in the case of corporations than with natural
    96
       ,ELG, para. 71.                                                     SHUVRQV:KHUHDVQDWXUDOSHUVRQVFKDQJHQDWLRQDOLW\HDVL
    97
       The ICJ in %DUFHORQD 7UDFWLRQ made it clear that there are no       O\DVDUHVXOWRIQDWXUDOL]DWLRQYROXQWDU\DQGLQYROXQWDU\
rules of international law on the incorporation of companies. Con-           DV SRVVLEO\ LQ WKH FDVH RI PDUULDJH RU DGRSWLRQ  DQG
sequently, it was necessary to have recourse to the municipal law to        6WDWHVXFFHVVLRQFRUSRUDWLRQVPD\RQO\FKDQJHQDWLRQDO-
ascertain whether the conditions for incorporation had been met. The
&RXUWVWDWHG³$OOLWPHDQVLVWKDWLQWHUQDWLRQDOODZKDVKDGWRUHFRJ-
                                                                            LW\E\EHLQJUHIRUPHGRUUHLQFRUSRUDWHGLQDQRWKHU6WDWH
QL]HWKHFRUSRUDWHHQWLW\DVDQLQVWLWXWLRQFUHDWHGE\6WDWHVLQDGRPDLQ  in which case the corporation assumes a new personal-
essentially within their domestic jurisdiction. This in turn requires that, LW\WKHUHE\EUHDNLQJWKHFRQWLQXLW\RIQDWLRQDOLW\RIWKH
ZKHQHYHUOHJDOLVVXHVDULVHFRQFHUQLQJWKHULJKWVRI6WDWHVZLWKUHJDUG
WRWKHWUHDWPHQWRIFRPSDQLHVDQGVKDUHKROGHUVDVWRZKLFKULJKWVLQWHU-
national law has not established its own rules, it has to refer to the rel-
HYDQWUXOHVRIPXQLFLSDOODZ´ LELG), pp. 34–35, para. 38.                     99
                                                                                   See %DUFHORQD 7UDFWLRQ 6HFRQG 3KDVH 'HFLVLRQ (footnote 40
    98
       See footnote 32 above.                                               above), p. 43, paras. 70–71.
</pre>

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<pre>                                                                  Diplomatic protection                                                                   
corporation.100 Only in one instance may a corporation,                       State may exercise diplomatic protection in respect of an
SRVVLEO\FKDQJHQDWLRQDOLW\ZLWKRXWFKDQJLQJOHJDOSHU-                      injury to the corporation. A State could not avail itself of
sonality, and that is in the case of State succession.                        WKHQDWLRQDOLW\RIWKHVKDUHKROGHUVLQRUGHUWREULQJVXFKD
                                                                              claim as it could not show that it had the necessary inter-
   3DUDJUDSK  DVVHUWV WKH WUDGLWLRQDO SULQFLSOH WKDW D             est at the time the injury occurred to the corporation. This
State is entitled to exercise diplomatic protection in respect                PDWWHUWURXEOHGVHYHUDOMXGJHVLQWKH%DUFHORQD7UDFWLRQ
of a corporation that was its national both at the time of                    case106 and it has troubled certain courts and arbitral tri-
WKHLQMXU\DQGDWWKHGDWHRIWKHRI¿FLDOSUHVHQWDWLRQRIWKH                bunals107 and scholars.1083DUDJUDSKDGRSWVDSUDJPDWLF
FODLP7KH¿UVWUHTXLUHPHQWWKDWWKHLQMXUHGFRUSRUDWLRQ                    approach and allows the State of nationality of a corpo-
be a national of the claimant State at the time of the pres-                  ration to exercise diplomatic protection in respect of an
HQWDWLRQ RI WKH FODLP SUHVHQWV QR SUREOHP 'LI¿FXOWLHV               injury suffered by the corporation when it was its national
arise, however, in respect of the GLHV DG TXHP, the date                    and has ceased to exist—and therefore ceased to be its
until which nationality of the claim is required.101 The cor-                 national—as a result of the injury. In order to qualify, the
poration must clearly be a national of the claimant State                     claimant State must prove that it was because of the injury
ZKHQWKHRI¿FLDOSUHVHQWDWLRQRIWKHFODLPLVPDGH7KHUH                    LQUHVSHFWRIZKLFKWKHFODLPLVEURXJKWWKDWWKHFRUSRUD-
is support for this proposition in treaties, judicial deci-                   WLRQKDVFHDVHGWRH[LVW3DUDJUDSKPXVWEHUHDGLQFRQ-
sions and doctrine.102 In this sense, the entitlement of the                  junction with article 11 (a), which makes it clear that the
6WDWHWRH[HUFLVHGLSORPDWLFSURWHFWLRQEHJLQVDWWKHGDWH                   State of nationality of shareholders will not be entitled to
RIWKHRI¿FLDOSUHVHQWDWLRQRIWKHFODLP7KHUHZDVKRZ-                     exercise diplomatic protection in respect of an injury to a
ever, support for the view that if the corporation should                     corporation that led to its demise.
FKDQJHLWVQDWLRQDOLW\EHWZHHQWKLVGDWHDQGWKHPDNLQJ
RIDQDZDUGRUDMXGJHPHQWLWFHDVHVWREHDQDWLRQDOIRU                                $UWLFOH 3URWHFWLRQRIVKDUHKROGHUV
WKHSXUSRVHVRIGLSORPDWLFSURWHFWLRQ$FFRUGLQJWRWKLV
view, the continuous nationality rule requires the bond of                        7KH 6WDWH RI QDWLRQDOLW\ RI WKH VKDUHKROGHUV LQ D
nationality “from the time of the occurrence of the injury                    FRUSRUDWLRQVKDOOQRWEHHQWLWOHGWRH[HUFLVHGLSORPDWLF
XQWLOWKHPDNLQJRIWKHDZDUG´103,QWKHOLJKWRIWKHSDX-                   SURWHFWLRQRQEHKDOIRIVXFKVKDUHKROGHUVLQWKHFDVHRI
city of such cases in practice, the Commission preferred                      DQLQMXU\WRWKHFRUSRUDWLRQXQOHVV
WRPDLQWDLQWKHSRVLWLRQUHÀHFWHGLQGUDIWDUWLFOH104
                                                                                   D  7KHFRUSRUDWLRQKDVFHDVHGWRH[LVWDFFRUGLQJ
   7KH ZRUG ³FODLP´ LQ SDUDJUDSK  LQFOXGHV ERWK D                 to the law of the State of incorporation for a reason
FODLPVXEPLWWHGWKURXJKGLSORPDWLFFKDQQHOVDQGDFODLP                      XQUHODWHGWRWKHLQMXU\RU
¿OHGEHIRUHDMXGLFLDOERG\6XFKDFODLPPD\VSHFLI\WKH
conduct that the responsible State should take in order to                         b  7KHFRUSRUDWLRQKDGDWWKHWLPHRIWKHLQMXU\
FHDVH WKH ZURQJIXO DFWLI LW LV FRQWLQXLQJDQG WKH IRUP            WKH QDWLRQDOLW\ RI WKH 6WDWH DOOHJHG WR EH UHVSRQVLEOH
reparation should take.105                                                    IRUFDXVLQJLQMXU\DQGLQFRUSRUDWLRQXQGHUWKHODZRI
                                                                              WKHODWWHU6WDWHZDVUHTXLUHGE\LWDVDSUHFRQGLWLRQIRU
   'LI¿FXOWLHV DULVH LQ UHVSHFW RI WKH H[HUFLVH RI GLS-             GRLQJEXVLQHVVWKHUH
lomatic protection of a corporation that has ceased to
H[LVW DFFRUGLQJ WR WKH ODZ RI WKH 6WDWH LQ ZKLFK LW ZDV                                            Commentary
formed and of which it was a national. If one takes the
position that the State of nationality of such a corpora-                     (1) The most fundamental principle of the diplomatic
WLRQPD\QRWEULQJDFODLPDVWKHFRUSRUDWLRQQRORQJHU                      protection of corporations is that a corporation is to be
exists at the time of presentation of the claim, then no                      protected by the State of nationality of the corporation
                                                                              and not by the State or States of nationality of the share-
    100
        See the 2ULQRFR 6WHDPVKLS &RPSDQ\ case, United States–            KROGHUVLQDFRUSRUDWLRQ7KLVSULQFLSOHZDVVWURQJO\UHDI-
9HQH]XHOD0L[HG&ODLPV&RPPLVVLRQFRQVWLWXWHGXQGHUWKH3URWRFRO            ¿UPHGE\WKH,&-LQ%DUFHORQD7UDFWLRQ. In this case the
RI)HEUXDU\815,$$YRO,; 6DOHV1R9 S
+HUH D FRPSDQ\ LQFRUSRUDWHG LQ WKH 8QLWHG .LQJGRP WUDQVIHUUHG LWV   &RXUWHPSKDVL]HGDWWKHRXWVHWWKDWLWZDVFRQFHUQHGRQO\
FODLPDJDLQVWWKH*RYHUQPHQWRIWKH%ROLYDULDQ5HSXEOLFRI9HQH]XHOD         with the question of the diplomatic protection of share-
to a successor company incorporated in the United States. As the treaty       holders in “a limited liability company whose capital is
HVWDEOLVKLQJ WKH &RPPLVVLRQ SHUPLWWHG WKH 8QLWHG 6WDWHV WR EULQJ D
claim on behalf of its national in such circumstances, the claim was
DOORZHG+RZHYHU8PSLUH%DUJHPDGHLWFOHDUWKDWEXWIRUWKHWUHDW\
                                                                                  106
                                                                                     -XGJHV -HVVXS VHH IRRWQRWH  DERYH S   *URV LELG,
the claim would not have been allowed (LELG, at p. 192).                     S   DQG )LW]PDXULFH LELG SS ±  DQG -XGJH DG KRF
    101                                                                       5LSKDJHQ LELG, p. 345).
        This matter was left undecided by the PCIJ in the Pan
HYH]\V6DOGXWLVNLV 5DLOZD\ case (see footnote 32 above), at p. 17.
                                                                                  107
                                                                                      See the .XQKDUGW FODLP RSLQLRQV LQ WKH $PHULFDQ±9HQH]XH-
See also the fourth report of the Special Rapporteur Václav Mikulka on        lan Mixed Claims Commission of 1903, constituted in virtue of the
QDWLRQDOLW\LQUHODWLRQWRWKHVXFFHVVLRQRI6WDWHVZKLFKKLJKOLJKWVWKH    3URWRFRORI)HEUXDU\ 815,$$YRO,; 6DOHV1R9 
GLI¿FXOWLHVVXUURXQGLQJWKHQDWLRQDOLW\RIOHJDOSHUVRQVLQUHODWLRQWRWKH  SDQGSDUWLFXODUO\WKHGLVVHQWLQJRSLQLRQRIWKH9HQH]XHODQ&RP-
succession of States,<HDUERRN«, vol. II (Part One), document A/        PLVVLRQHU 0U 3D~O DW S  VHH DOVR) : )ODFN, on behalf of the
CN.4/489, p. 301.                                                             (VWDWHRIWKH/DWH'/)ODFN *UHDW%ULWDLQ v.8QLWHG0H[LFDQ6WDWHV
    102                                                                       'HFLVLRQ1RRI'HFHPEHU LELG, vol. V (Sales No. 1952.V.3),
        See the Kren claim (footnote 55 above), at p. 234.
    103
                                                                              p. 61, at p. 63.
        Oppenheim’s International Law (see footnote 54 above), p. 512.
    104
                                                                                  108
                                                                                     6HH/&DÀLVFK/DSURWHFWLRQGHVVRFLpWpVFRPPHUFLDOHVHWGHV
        For a recent example of such a case, see The Loewen                   LQWpUrWV LQGLUHFWV HQ GURLW LQWHUQDWLRQDO SXEOLF 7KH +DJXH 0DUWLQXV
*URXS ,QF DQG 5D\PRQG / /RHZHQ v. 8QLWHG 6WDWHV RI $PHULFD,       1LMKRII  SS ± : ( %HFNHWW ³'LSORPDWLF FODLPV LQ
ICSID, No. ARB(AF)/98/3, ILM, vol. 42 (2003), p. 811.                         UHVSHFWRILQMXULHVWRFRPSDQLHV´LQ7UDQVDFWLRQVRIWKH*URWLXV6RFL
    105
        See, further, article 43 of the draft articles on the responsibility  etyYRO/RQGRQ6ZHHWDQG0D[ZHOOSDQG(:\OHU
RI6WDWHVIRULQWHUQDWLRQDOO\ZURQJIXODFWVDQGWKHFRPPHQWDU\WKHUHWR      /DUqJOHGLWHGHODFRQWLQXLWpGHODQDWLRQDOLWpGDQVOHFRQWHQWLHX[LQWHU
<HDUERRN«YRO,, 3DUW7ZR DQGFRUULJHQGXPSS±.             national, Paris, Presses universitaires de France, 1990, pp. 197–202.
</pre>

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<pre>                               5HSRUWRIWKH,QWHUQDWLRQDO/DZ&RPPLVVLRQRQWKHZRUNRIWKH¿IW\VL[WKVHVVLRQ
UHSUHVHQWHGE\VKDUHV´109 Such companies are character-                  to stress that, as the shareholders in a company may be
L]HGE\DFOHDUGLVWLQFWLRQEHWZHHQFRPSDQ\DQGVKDUH-                    nationals of different States, several States of nationality
holders.110 Whenever a shareholder’s interests are harmed                 may be able to exercise diplomatic protection in terms of
by an injury to the company, it is to the company that the                these exceptions.
VKDUHKROGHU PXVW ORRN WR WDNH DFWLRQ IRU ³DOWKRXJK WZR
VHSDUDWHHQWLWLHVPD\KDYHVXIIHUHGIURPWKHVDPHZURQJ                 (4) Article 11 (a) requires that the corporation shall
LWLVRQO\RQHHQWLW\ZKRVHULJKWVKDYHEHHQLQIULQJHG´111               KDYH³FHDVHGWRH[LVW´EHIRUHWKH6WDWHRIQDWLRQDOLW\RI
Only where the act complained of is aimed at the direct                   the shareholders shall be entitled to intervene on their
ULJKWV RI WKH VKDUHKROGHUV GRHV D VKDUHKROGHU KDYH DQ            behalf. Before the %DUFHORQD7UDFWLRQFDVHWKHZHLJKWRI
LQGHSHQGHQWULJKWRIDFWLRQ1126XFKSULQFLSOHVJRYHUQLQJ                DXWKRULW\ IDYRXUHG D OHVV VWULQJHQW WHVW RQH WKDW SHUPLW-
the distinction between company and shareholders, said                    ted intervention on behalf of shareholders when the com-
the Court, are derived from municipal law and not inter-                  SDQ\ZDV³SUDFWLFDOO\GHIXQFW´120 The Court in %DUFHORQD
national law.113                                                          7UDFWLRQKRZHYHUVHWDKLJKHUWKUHVKROGIRUGHWHUPLQLQJ
                                                                          WKHGHPLVHRIDFRPSDQ\7KH³SDUDO\VLV´RU³SUHFDULRXV
   ,QUHDFKLQJLWVGHFLVLRQWKDWWKH6WDWHRILQFRUSRUD-                ¿QDQFLDOVLWXDWLRQ´RIDFRPSDQ\ZDVGLVPLVVHGDVLQDG-
tion of a company and not the State(s) of nationality of                  equate.1217KH WHVW RI ³SUDFWLFDOO\ GHIXQFW´ ZDV OLNHZLVH
the shareholders in the company is the appropriate State                  UHMHFWHGDVRQH³ZKLFKODFNVDOOOHJDOSUHFLVLRQ´122 Only
to exercise diplomatic protection in the event of injury to               WKH ³FRPSDQ\¶V VWDWXV LQ ODZ´ ZDV FRQVLGHUHG UHOHYDQW
a company, the Court in %DUFHORQD7UDFWLRQZDVJXLGHG                    7KH&RXUWVWDWHG³2QO\LQWKHHYHQWRIWKHOHJDOGHPLVH
by a number of policy considerations. First, when share-                  of the company are the shareholders deprived of the pos-
KROGHUV LQYHVW LQ D FRUSRUDWLRQ GRLQJ EXVLQHVV DEURDG             VLELOLW\RIDUHPHG\DYDLODEOHWKURXJKWKHFRPSDQ\LWLV
WKH\XQGHUWDNHULVNVLQFOXGLQJWKHULVNWKDWWKH6WDWHRI               only if they became deprived of all such possibility that
nationality of the corporation may, in the exercise of its                DQLQGHSHQGHQWULJKWRIDFWLRQIRUWKHPDQGWKHLU*RYHUQ-
discretion, decline to exercise diplomatic protection on                  PHQWFRXOGDULVH´1236XEVHTXHQWVXSSRUWKDVEHHQJLYHQ
their behalf.114 Secondly, if the State of nationality of                 WRWKLVWHVWE\WKH(XURSHDQ&RXUWRI+XPDQ5LJKWV124
shareholders is permitted to exercise diplomatic protec-
                                                                          (5) The Court in %DUFHORQD7UDFWLRQ did not expressly
WLRQWKLVPLJKWOHDGWRDPXOWLSOLFLW\RIFODLPVE\GLI-
                                                                          state that the company must have ceased to exist in the
IHUHQW6WDWHVDVODUJHFRUSRUDWLRQVIUHTXHQWO\FRPSULVH
                                                                          SODFHRILQFRUSRUDWLRQ as a precondition to shareholders’
shareholders of many nationalities.115 In this connec-
                                                                          intervention. Nevertheless, it seems clear in the context of
tion the Court indicated that if the shareholder’s State
                                                                          WKHSURFHHGLQJVEHIRUHLWWKDWWKH&RXUWLQWHQGHGWKDWWKH
of nationality was empowered to act on his behalf there
                                                                          company should have ceased to exist in the State of incor-
was no reason why every individual shareholder should
                                                                          poration and not in the State in which the company was
QRW HQMR\ VXFK D ULJKW116 Thirdly, the Court was reluc-
                                                                          injured. The Court was prepared to accept that the com-
WDQW WR DSSO\ E\ ZD\ RI DQDORJ\ UXOHV UHODWLQJ WR GXDO
                                                                          pany was destroyed in Spain125EXWHPSKDVL]HGWKDWWKLV
nationality to corporations and shareholders and to allow
                                                                          did not affect its continued existence in Canada, the State
the States of nationality of both to exercise diplomatic
                                                                          of incorporation: “In the present case, Barcelona Trac-
protection.117
                                                                          tion is in receivership in the country of incorporation. Far
                                                                          IURPLPSO\LQJWKHGHPLVHRIWKHHQWLW\RURILWVULJKWVWKLV
(3) The Court in %DUFHORQD7UDFWLRQ accepted that the
                                                                          PXFKUDWKHUGHQRWHVWKDWWKRVHULJKWVDUHSUHVHUYHGIRUVR
State(s) of nationality of shareholders might exercise dip-
                                                                          ORQJDVQROLTXLGDWLRQKDVHQVXHG7KRXJKLQUHFHLYHUVKLS
ORPDWLFSURWHFWLRQRQWKHLUEHKDOILQWZRVLWXDWLRQV¿UVWO\
                                                                          WKHFRPSDQ\FRQWLQXHVWRH[LVW´126$FRPSDQ\LV³ERUQ´
where the company had ceased to exist in its place of
                                                                          in the State of incorporation when it is formed or incorpo-
incorporation118—which was not the case with Barcelona
                                                                          UDWHGWKHUH&RQYHUVHO\LW³GLHV´ZKHQLWLVZRXQGXSLQ
7UDFWLRQDQGVHFRQGO\ZKHUHWKH6WDWHRILQFRUSRUDWLRQ
                                                                          LWV6WDWHRILQFRUSRUDWLRQWKH6WDWHZKLFKJDYHLWLWVH[LVW-
ZDV LWVHOI UHVSRQVLEOH IRU LQÀLFWLQJ LQMXU\ RQ WKH FRP-
                                                                          HQFH,WWKHUHIRUHVHHPVORJLFDOWKDWWKHTXHVWLRQZKHWKHU
SDQ\DQGWKHIRUHLJQVKDUHKROGHUV¶VROHPHDQVRISURWHF-
                                                                          DFRPSDQ\KDVFHDVHGWRH[LVWDQGLVQRORQJHUDEOHWR
WLRQRQWKHLQWHUQDWLRQDOOHYHOZDVWKURXJKWKHLU6WDWH V 
                                                                          function as a corporate entity, must be determined by the
of nationality119—which was also not the case with Bar-
                                                                          law of the State in which it is incorporated.
celona Traction. These two exceptions, which were not
WKRURXJKO\H[DPLQHGE\WKH&RXUWLQ%DUFHORQD7UDFWLRQ                        120
                                                                                  Delagoa Bay Railway Co. case, J. B. Moore, Digest of Inter
EHFDXVHWKH\ZHUHQRWUHOHYDQWWRWKHFDVHDUHUHFRJQL]HG               national Law YRO 9, :DVKLQJWRQ '& 8QLWHG 6WDWHV *RYHUQPHQW
LQ SDUDJUDSKV a) and (b) of article 11. It is important                 3ULQWLQJ2I¿FHSThe Claims of 5RVD*HOEWUXQNDQGWKH
                                                                          ³6DOYDGRU&RPPHUFLDO&RPSDQ\´, et al. 10 ³(O7ULXQIR&RPSDQ\´ ,
                                                                          815,$$ YRO ;9 6DOHV 1R 9  S  DW S  DQG WKH
    109
         %DUFHORQD 7UDFWLRQ 6HFRQG 3KDVH 'HFLVLRQ (see footnote 40 %DDVFK DQG 5|PHU claim, LELG YRO ; 6DOHV 1R 9  S 
above), p. 34, para. 40.                                                  at 723.
    110
        ,ELG, para. 41.                                                      121
                                                                                  See %DUFHORQD 7UDFWLRQ 6HFRQG 3KDVH 'HFLVLRQ (footnote 40
    111
        ,ELG., p. 35, para. 44.                                           above), pp. 40–41, paras. 65–66.
    112
        ,ELG., p. 36, para. 47.
                                                                              122
                                                                                  ,ELG., p. 41, para. 66.
    113
        ,ELG., p. 37, para. 50.
                                                                              123
                                                                                  ,ELG VHH DOVR WKH VHSDUDWH RSLQLRQV RI -XGJHV 3DGLOOD 1HUYR
                                                                          (LELG, p. 256) and Ammoun (LELG, pp. 319–320).
    114
        ,ELG, p. 35 (para. 43), p. 46 (paras. 86–87), p. 50 (para. 99).      124
                                                                                  See $JURWH[LP DQG RWKHUV v. *UHHFH 'HFLVLRQ RI  2FWREHU
    115
        ,ELG, pp. 48–49, paras. 94–96.
                                                                           ECHR, Series A, No. 330-A, p. 25, para. 68.
    116
        ,ELG., p. 48, paras. 94–95.                                           125
                                                                                  See %DUFHORQD 7UDFWLRQ 6HFRQG 3KDVH 'HFLVLRQ (footnote 40
    117
        ,ELG, p. 38 (para. 53) and p. 50 (para. 98).                     DERYH SSDUD6HHDOVRWKHVHSDUDWHRSLQLRQVRI-XGJHV)LW]-
    118
        ,ELG, pp. 40–41, paras. 65–68.                                   maurice (LELG, p. 75) and Jessup (LELG, p. 194).
    119
        ,ELG, p. 48, para. 92.                                               126
                                                                                  ,ELG., p. 41, para. 67.
</pre>

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<pre>                                                                  Diplomatic protection                                                                
   7KH ¿QDO SKUDVH ³IRU D UHDVRQ XQUHODWHG WR WKH                  (9) In %DUFHORQD7UDFWLRQ, Spain, the respondent State,
LQMXU\´ LQ DUWLFOH  a) aims to ensure that the State of                 was not the State of nationality of the injured company.
nationality of the shareholders will not be permitted to                      Consequently, the exception under discussion was not
EULQJSURFHHGLQJVLQUHVSHFWRIWKHLQMXU\WRWKHFRUSRUD-                    EHIRUHWKH,&-1HYHUWKHOHVVWKH&RXUWGLGPDNHSDVVLQJ
tion that is the cause of the corporation’s demise. This,                     reference to this exception:
DFFRUGLQJWRDUWLFOHLVWKHFRQWLQXLQJULJKWRIWKH6WDWH
of nationality of the corporation. The State of nationality                       It is quite true that it has been maintained that, for reasons of equity,
                                                                              a State should be able, in certain cases, to take up the protection of its
of the shareholders will therefore only be able to exercise                   nationals, shareholders in a company which has been the victim of a
diplomatic protection in respect of shareholders who have                     violation of international law. Thus a theory has been developed to the
suffered as a result of injuries sustained by the corporation                 HIIHFWWKDWWKH6WDWHRIWKHVKDUHKROGHUVKDVDULJKWRIGLSORPDWLFSUR-
XQUHODWHGWRWKHLQMXU\WKDWPLJKWKDYHJLYHQULVHWRWKH                    tection when the State whose responsibility is invoked is the national
GHPLVHRIWKHFRUSRUDWLRQ7KHSXUSRVHRIWKLVTXDOL¿FD-                      State of the company. Whatever the validity of this theory may be, it
                                                                              is certainly not applicable to the present case, since Spain is not the
tion is to limit the circumstances in which the State of                      national State of Barcelona Traction.129
nationality of the shareholders may intervene on behalf of
such shareholders for injury to the corporation.                              -XGJHV)LW]PDXULFH130 Tanaka131 and Jessup132 expressed
                                                                              full support in their separate opinions in %DUFHORQD7UDF
   $UWLFOHSDUDJUDSK b JLYHVHIIHFWWRWKHH[FHS-                     tionIRUWKHULJKWRIWKH6WDWHRIQDWLRQDOLW\RIWKHVKDUH-
WLRQDOORZLQJWKH6WDWHRIQDWLRQDOLW\RIWKHVKDUHKROGHUV                   holders to intervene when the company was injured by
in a corporation to exercise diplomatic protection on their                   the State of incorporation.133:KLOHERWK-XGJHV)LW]PDX-
behalf where the State of incorporation is itself responsi-                   rice134 and Jessup135 conceded that the need for such a rule
EOHIRULQÀLFWLQJLQMXU\RQWKHFRUSRUDWLRQ7KHH[FHSWLRQ                   ZDVSDUWLFXODUO\VWURQJZKHUHLQFRUSRUDWLRQZDVUHTXLUHG
is, however, formulated in a restrictive manner so as to                      DVDSUHFRQGLWLRQIRUGRLQJEXVLQHVVLQWKH6WDWHRILQFRU-
limit it to cases where incorporation was required by the                     poration, neither was prepared to limit the rule to such
6WDWHLQÀLFWLQJWKHLQMXU\RQWKHFRUSRUDWLRQDVDSUHFRQ-                    FLUFXPVWDQFHV -XGJHV 3DGLOOD 1HUYR136 Morelli137 and
GLWLRQIRUGRLQJEXVLQHVVWKHUH                                              Ammoun,138RQWKHRWKHUKDQGZHUHYLJRURXVO\RSSRVHG
                                                                              to the exception.
(8) There is tentative evidence in support of a broad
exception, without the restrictive condition contained in                        'HYHORSPHQWV UHODWLQJ WR WKH SURSRVHG H[FHSWLRQ
SDUDJUDSK b), in State practice, arbitral awards127 and                      in the post-%DUFHORQD 7UDFWLRQ period have occurred
GRFWULQH 6LJQL¿FDQWO\ KRZHYHU WKH VWURQJHVW VXSSRUW                  mainly in the context of treaties. Nevertheless they do
for intervention on the part of the State of nationality of                   indicate support for the notion that the shareholders of a
the shareholders comes from three claims in which the                         FRPSDQ\PD\LQWHUYHQHDJDLQVWWKH6WDWHRILQFRUSRUDWLRQ
injured corporation had been FRPSHOOHG to incorporate                         of the company when it has been responsible for caus-
LQ WKH ZURQJGRLQJ 6WDWH 'HODJRD %D\ 5DLOZD\ 0H[L                    LQJLQMXU\WRWKHFRPSDQ\139 In the (/6,case,140 a Cham-
FDQ(DJOH and (O7ULXQIR&RPSDQ\:KLOHWKHUHLVQRVXJ-                      EHURIWKH,&-DOORZHGWKH8QLWHG6WDWHVWREULQJDFODLP
JHVWLRQLQWKHODQJXDJHRIWKHVHFODLPVWKDWLQWHUYHQWLRQ                    DJDLQVW,WDO\LQUHVSHFWRIGDPDJHVVXIIHUHGE\DQ,WDOLDQ
is to be limited to such circumstances, there is no doubt                     company whose shares were wholly owned by two Amer-
that it is in such cases that intervention is most needed.                    LFDQ FRPSDQLHV7KH &RXUW DYRLGHG SURQRXQFLQJ RQ WKH
$VWKH*RYHUQPHQWRIWKH8QLWHG.LQJGRPUHSOLHGWRWKH                       FRPSDWLELOLW\RILWV¿QGLQJZLWKWKDWRI%DUFHORQD7UDF
0H[LFDQ DUJXPHQW LQ 0H[LFDQ (DJOH WKDW D 6WDWH PLJKW                 tion or on the proposed exception left open in %DUFHORQD
not intervene on behalf of its shareholders in a Mexican                      7UDFWLRQ despite the fact that Italy objected that the com-
company:
    ,IWKHGRFWULQHZHUHDGPLWWHGWKDWD*RYHUQPHQWFDQ¿UVWPDNHWKH
                                                                                  129
                                                                                      %DUFHORQD 7UDFWLRQ 6HFRQG 3KDVH 'HFLVLRQ (see footnote 40
RSHUDWLRQRIIRUHLJQLQWHUHVWVLQLWVWHUULWRULHVGHSHQGXSRQWKHLULQFRU-    above), p. 48, para. 92.
poration under local law, and then plead such incorporation as the justi-         130
                                                                                      ,ELG, pp. 72–75.
¿FDWLRQIRUUHMHFWLQJIRUHLJQGLSORPDWLFLQWHUYHQWLRQLWLVFOHDUWKDWWKH      131
                                                                                      ,ELG, p. 134.
PHDQVZRXOGQHYHUEHZDQWLQJZKHUHE\IRUHLJQ*RYHUQPHQWVFRXOGEH
SUHYHQWHGIURPH[HUFLVLQJWKHLUXQGRXEWHGULJKWXQGHULQWHUQDWLRQDOODZ
                                                                                  132
                                                                                      ,ELG, pp. 191–193.
to protect the commercial interests of their nationals abroad.128
                                                                                  133
                                                                                     -XGJH:HOOLQJWRQ.RROLNHZLVHVXSSRUWHGWKLVSRVLWLRQLQ%DUFH
                                                                              ORQD7UDFWLRQ/LJKWDQG3RZHU&RPSDQ\/LPLWHG %HOJLXPv. 6SDLQ 
                                                                              3UHOLPLQDU\2EMHFWLRQV'HFLVLRQ ,&-5HSRUWV, p. 6, at p. 58,
                                                                              para. 20.
                                                                                  134
                                                                                      %DUFHORQD7UDFWLRQ (see footnote 40 above), pp. 73–74, paras. 15
    127
        See Delagoa Bay Railway Company IRRWQRWHDERYH 0H[L            and 16.
FDQ(DJOH (O$JXLOD , M. M. Whiteman, Digest of International Law,               135
                                                                                      ,ELG, pp. 191–192.
YRO   SS ± 5RPDQR$PHULFDQD, G. H. Hackworth,              136
                                                                                      ,ELG, pp. 257–259.
Digest of International Law YRO 9 :DVKLQJWRQ '& 8QLWHG 6WDWHV        137
                                                                                      ,ELG., pp. 240–241.
*RYHUQPHQW 3ULQWLQJ 2I¿FH  S  ³6DOYDGRU &RPPHUFLDO
&RPSDQ\´ et al. ³(O 7ULXQIR &RPSDQ\´  $ZDUG RI  0D\ ,
                                                                                  138
                                                                                      ,ELG., p. 318.
UNRIAA, YRO;9 SDWSDQG7KH'HXWVFKH$PHULNDQLVFKH               139
                                                                                      See 6('&2 ,QF v. 1DWLRQDO ,UDQLDQ 2LO &RPSDQ\ DQG WKH
3HWUROHXP *HVHOOVFKDIW 2LO 7DQNHUV $ZDUG RI  $XJXVW  LELG,   ,VODPLF 5HSXEOLF RI ,UDQ &DVH 1R  RI  2FWREHU , ILR,
vol. II (Sales No. 1949.V.1), p. 777, at p. 790. For a comprehensive          YRO    SS  DQG  LQWHUSUHWLQJ DUWLFOH 9,,   RI WKH
H[DPLQDWLRQ RI WKH DXWKRULWLHV VHH &DÀLVFK RS FLW (footnote 108    $OJLHUV&ODLPV6HWWOHPHQW'HFODUDWLRQ DQG/LEHULDQ(DVWHUQ7LPEHU
DERYH DQG-0-RQHV³&ODLPVRQEHKDOIRIQDWLRQDOVZKRDUHVKDUH-        &RUSRUDWLRQ /(7&2 v. 7KH*RYHUQPHQWRIWKH5HSXEOLFRI/LEHULD
KROGHUVLQIRUHLJQFRPSDQLHV´%<,/YROS6HHDOVR         ,/0YRO  SSDQG± LQWHUSUHWLQJDUWLFOHRIWKH
(-LPpQH]GH$UpFKDJD³,QWHUQDWLRQDOUHVSRQVLELOLW\´LQ06¡UHQVHQ       Convention on the settlement of investment disputes between States
(ed.), Manual of International Law, London, Macmillan, 1968, p. 531,          and Nationals of other States).
at pp. 580–581.                                                                   140
                                                                                       (OHWWURQLFD6LFXOD6S$ (/6, -XGJPHQW ,&-5HSRUWV,
    128
        Whiteman, RSFLW(footnote 127 above), pp. 1273–1274.               p. 15.
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<pre>                                 5HSRUWRIWKH,QWHUQDWLRQDO/DZ&RPPLVVLRQRQWKHZRUNRIWKH¿IW\VL[WKVHVVLRQ
SDQ\ZKRVHULJKWVZHUHDOOHJHGWRKDYHEHHQYLRODWHGZDV                       LWVHOIWKH6WDWHRIQDWLRQDOLW\RIDQ\VXFKVKDUHKROGHUV
LQFRUSRUDWHGLQ,WDO\DQGWKDWWKH8QLWHG6WDWHVVRXJKWWR                     LVHQWLWOHGWRH[HUFLVHGLSORPDWLFSURWHFWLRQLQUHVSHFW
SURWHFWWKHULJKWVRIVKDUHKROGHUVLQWKHFRPSDQ\141 This                      of its nationals.
VLOHQFHPLJKWEHH[SODLQHGRQWKHJURXQGWKDWWKH&KDP-
ber was not concerned with the evaluation of customary                                                            Commentary
international law but with the interpretation of a bilateral
7UHDW\RI)ULHQGVKLS&RPPHUFHDQG1DYLJDWLRQ142 which                          (1) That shareholders qualify for diplomatic protection
provided for the protection of United States shareholders                       ZKHQWKHLURZQULJKWVDUHDIIHFWHGZDVUHFRJQL]HGE\WKH
abroad. On the other hand, the proposed exception was                           ICJ in %DUFHORQD7UDFWLRQ when it stated:
clearly before the Chamber.143 It is thus possible to infer
VXSSRUWIRUWKHH[FHSWLRQLQIDYRXURIWKHULJKWRIWKH6WDWH                  «DQDFWGLUHFWHGDJDLQVWDQGLQIULQJLQJRQO\WKHFRPSDQ\¶VULJKWVGRHV
                                                                                not involve responsibility towards the shareholders, even if their inter-
RIVKDUHKROGHUVLQDFRUSRUDWLRQWRLQWHUYHQHDJDLQVWWKH                      HVWVDUHDIIHFWHG>«@7KHVLWXDWLRQLVGLIIHUHQWLIWKHDFWFRPSODLQHG
6WDWHRILQFRUSRUDWLRQZKHQLWLVUHVSRQVLEOHIRUFDXVLQJ                      RI LV DLPHG DW WKH GLUHFW ULJKWV RI WKH VKDUHKROGHU DV VXFK ,W LV ZHOO
injury to the corporation.144                                                   NQRZQWKDWWKHUHDUHULJKWVZKLFKPXQLFLSDOODZFRQIHUVXSRQWKHODWWHU
                                                                                GLVWLQFWIURPWKRVHRIWKHFRPSDQ\LQFOXGLQJWKHULJKWWRDQ\GHFODUHG
(11) Before %DUFHORQD 7UDFWLRQ there was support for                          GLYLGHQGWKHULJKWWRDWWHQGDQGYRWHDWJHQHUDOPHHWLQJVWKHULJKWWR
                                                                                share in the residual assets of the company on liquidation. Whenever
WKHSURSRVHGH[FHSWLRQDOWKRXJKRSLQLRQVZHUHGLYLGHG                         RQHRIKLVGLUHFWULJKWVLVLQIULQJHGWKHVKDUHKROGHUKDVDQLQGHSHQGHQW
over whether, or to what extent, State practice and arbitral                    ULJKWRIDFWLRQ147
GHFLVLRQV UHFRJQL]HG LW7KH RELWHU GLFWXP in %DUFHORQD
7UDFWLRQDQGWKHVHSDUDWHRSLQLRQVRI-XGJHV)LW]PDXULFH                      The Court was not, however, called upon to consider this
-HVVXSDQG7DQDNDKDYHXQGRXEWHGO\DGGHGWRWKHZHLJKW                         PDWWHUDQ\IXUWKHUEHFDXVH%HOJLXPPDGHLWFOHDUWKDWLW
of authority in favour of the exception. Subsequent devel-                      GLG QRW EDVH LWV FODLP RQ DQ LQIULQJHPHQW RI WKH GLUHFW
opments, albeit in the context of treaty interpretation, have                   ULJKWVRIWKHVKDUHKROGHUV
FRQ¿UPHG WKLV WUHQG145 In these circumstances it would
EHSRVVLEOHWRVXVWDLQDJHQHUDOH[FHSWLRQRQWKHEDVLVRI                        7KH LVVXH RI WKH SURWHFWLRQ RI WKH GLUHFW ULJKWV RI
MXGLFLDORSLQLRQ+RZHYHUDUWLFOHSDUDJUDSK b) does                       shareholders was before the Chamber of the ICJ in the
QRWJRWKLVIDU,QVWHDGLWOLPLWVWKHH[FHSWLRQWRZKDWKDV                   (/6, case.148 +RZHYHU LQ WKDW FDVH WKH ULJKWV LQ TXHV-
EHHQ GHVFULEHG DV D ³&DOYR FRUSRUDWLRQ´ D FRUSRUDWLRQ                  WLRQ VXFK DV WKH ULJKWV RI WKH VKDUHKROGHUV WR RUJDQL]H
whose incorporation, like the Calvo clause,146LVGHVLJQHG                     FRQWURODQGPDQDJHWKHFRPSDQ\ZHUHWREHIRXQGLQWKH
WRSURWHFWLWIURPWKHUXOHVRILQWHUQDWLRQDOODZUHODWLQJWR                  7UHDW\ RI )ULHQGVKLS &RPPHUFH DQG 1DYLJDWLRQ149 that
diplomatic protection. It limits the exception to the situa-                    the Chamber was called on to interpret, and the Chamber
tion in which the corporation had, at the time of the injury                    did not expound on the rules of customary international
(a further restrictive feature), the nationality of the State                   law on this subject. In $JURWH[LP,150 the European Court
DOOHJHGWREHUHVSRQVLEOHIRUFDXVLQJWKHLQMXU\DQGLQFRU-                     RI+XPDQ5LJKWVOLNHWKH,QWHUQDWLRQDO&RXUWRI-XVWLFH
poration under the law of the latter State was required by                      in %DUFHORQD7UDFWLRQDFNQRZOHGJHGWKHULJKWRIVKDUH-
LW DV D SUHFRQGLWLRQ IRU GRLQJ EXVLQHVV WKHUH 1R GRXEW               holders to protection in respect of the direct violation of
WKHUHZLOOEHFDVHVLQZKLFKSROLWLFDOSUHVVXUHLVEURXJKW                     WKHLU ULJKWV EXW KHOG WKDW LQ FDVX no such violation had
WREHDURQIRUHLJQLQYHVWRUVWRLQFRUSRUDWHDFRPSDQ\LQ                       occurred.151
the State in which they wish to do business. In terms of
WKHH[FHSWLRQFRQWDLQHGLQSDUDJUDSK b) this is not suf-                       (3) Article 12 makes no attempt to provide an exhaus-
¿FLHQWWKHODZRIWKH6WDWHPXVWUHTXLUHLQFRUSRUDWLRQDV                     WLYHOLVWRIWKHULJKWVRIVKDUHKROGHUVDVGLVWLQFWIURPWKRVH
DSUHFRQGLWLRQIRUGRLQJEXVLQHVVWKHUH                                        of the corporation itself. In %DUFHORQD7UDFWLRQ the Court
                                                                                PHQWLRQHGWKHPRVWREYLRXVULJKWVRIVKDUHKROGHUV²WKH
             $UWLFOH 'LUHFWLQMXU\WRVKDUHKROGHUV                         ULJKWWRDGHFODUHGGLYLGHQGWKHULJKWWRDWWHQGDQGYRWH
                                                                                DWJHQHUDOPHHWLQJVDQGWKHULJKWWRVKDUHLQWKHUHVLGXDO
     7RWKHH[WHQWWKDWDQLQWHUQDWLRQDOO\ZURQJIXODFWRI                     assets of the company on liquidation—but made it clear
D6WDWHFDXVHVGLUHFWLQMXU\WRWKHULJKWVRIVKDUHKROG                        that this list is not exhaustive. This means that it is left
HUVDVVXFKDVGLVWLQFWIURPWKRVHRIWKHFRUSRUDWLRQ                         to courts to determine, on the facts of individual cases,
                                                                                WKH OLPLWV RI VXFK ULJKWV +RZHYHU FDUH ZLOO KDYH WR EH
     141
          ,ELG, p. 64 (para. 106) and p. 79 (para. 132).                       WDNHQ WR GUDZ FOHDU OLQHV EHWZHHQ VKDUHKROGHUV¶ ULJKWV
     142
           6LJQHG DW 5RPH RQ  )HEUXDU\  8QLWHG 1DWLRQV Treaty    DQGFRUSRUDWHULJKWVSDUWLFXODUO\LQUHVSHFWRIWKHULJKWWR
Series, vol. 79, No. 1040, p. 171).                                             SDUWLFLSDWHLQWKHPDQDJHPHQWRIFRUSRUDWLRQV7KDWDUWL
     143
         7KLVLVFOHDUIURPDQH[FKDQJHRIRSLQLRQVLQ(OHWWURQLFD6LFXOD     FOHLVWREHLQWHUSUHWHGUHVWULFWLYHO\LVHPSKDVL]HGE\
6S$ (/6,  VHH IRRWQRWH  DERYH  EHWZHHQ -XGJHV 2GD LELG,
pp. 87–88) and Schwebel (LELG, p. 94) on the subject.                          WKHSKUDVHV³WKHULJKWVRIWKHVKDUHKROGHUVDVVXFK´DQG
     144
          This view is expressed by Y. Dinstein in “Diplomatic protection       ULJKWV³DVGLVWLQFWIURPWKRVHRIWKHFRUSRUDWLRQLWVHOI´
RI FRPSDQLHV XQGHU LQWHUQDWLRQDO ODZ´ LQ . :HOOHQV HG  Interna
WLRQDO/DZ7KHRU\DQG3UDFWLFH²(VVD\VLQ+RQRXURI(ULF6X\, The                  $UWLFOH  GRHV QRW VSHFLI\ WKH OHJDO RUGHU WKDW
+DJXH0DUWLQXV1LMKRIISDWS                               PXVW GHWHUPLQH ZKLFK ULJKWV EHORQJ WR WKH VKDUHKROGHU
     145
         $FFRUGLQJ WR WKH 8QLWHG .LQJGRP¶V  5XOHV $SSO\LQJ WR     as distinct from the corporation. In most cases this is a
,QWHUQDWLRQDO &ODLPV ³>Z@KHUH D >8QLWHG .LQJGRP@ QDWLRQDO KDV DQ
interest, as a shareholder or otherwise, in a company incorporated in
another State and of which it is therefore a national, and that State                147
                                                                                         %DUFHORQD7UDFWLRQ(see footnote 40 above), p. 36, paras. 46–47.
LQMXUHV WKH FRPSDQ\ >+HU 0DMHVW\¶V *RYHUQPHQW@ PD\ LQWHUYHQH                148
                                                                                         See footnote 140 above.
WR SURWHFW WKH LQWHUHVWV RI WKDW >8QLWHG .LQJGRP@ QDWLRQDO´ 5XOH9,      149
reprinted in ,QWHUQDWLRQDO DQG &RPSDUDWLYH /DZ 4XDUWHUO\, vol. 37                     See footnote 142 above.
(1988), p. 1007.                                                                     150
                                                                                         $JURWH[LP DQGRWKHUVv*UHHFH (see footnote 124 above).
     146
          See <HDUERRN«, vol. II, document A/CN.4/96, pp. 203–204.             151
                                                                                         ,ELG, p. 23–24, para. 62.
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<pre>                                                               Diplomatic protection                                                                    
matter to be decided by the municipal law of the State of                  by some municipal law system. This has been stressed by
incorporation. Where the company is incorporated in the                    both the European Court of Justice153 and the International
ZURQJGRLQJ6WDWHKRZHYHUWKHUHPD\EHDFDVHIRUWKH                    Court of Justice.154
LQYRFDWLRQRIJHQHUDOSULQFLSOHVRIFRPSDQ\ODZLQRUGHU
WR HQVXUH WKDW WKH ULJKWV RI IRUHLJQ VKDUHKROGHUV DUH QRW           *LYHQWKHIDFWWKDWOHJDOSHUVRQVDUHWKHFUHDWXUHVRI
subjected to discriminatory treatment.152                                  PXQLFLSDOODZLWIROORZVWKDWWKHUHDUHWRGD\DZLGHUDQJH
                                                                           RI OHJDO SHUVRQV ZLWK GLIIHUHQW FKDUDFWHULVWLFV LQFOXGLQJ
                 $UWLFOH 2WKHUOHJDOSHUVRQV                          corporations, public enterprises, universities, schools,
                                                                           IRXQGDWLRQVFKXUFKHVPXQLFLSDOLWLHVQRQSUR¿WPDNLQJ
    7KH SULQFLSOHV FRQWDLQHG LQ GUDIW DUWLFOHV  DQG               DVVRFLDWLRQV QRQJRYHUQPHQWDO RUJDQL]DWLRQV DQG HYHQ
 LQ UHVSHFW RI FRUSRUDWLRQV VKDOO EH DSSOLFDEOH DV             partnerships (in some countries). The impossibility of
DSSURSULDWHWRWKHGLSORPDWLFSURWHFWLRQRIRWKHUOHJDO                  ¿QGLQJFRPPRQXQLIRUPIHDWXUHVLQDOOWKHVHOHJDOSHU-
persons.                                                                   sons provides one explanation for the fact that writers on
                                                                           ERWKSXEOLFDQGSULYDWHLQWHUQDWLRQDOODZODUJHO\FRQ¿QH
                              Commentary                                   WKHLUFRQVLGHUDWLRQRIOHJDOSHUVRQVLQWKHFRQWH[WRILQWHU-
                                                                           QDWLRQDOODZWRWKHFRUSRUDWLRQ'HVSLWHWKLVUHJDUGPXVW
(1) The provisions of this chapter have hitherto focused                   EHKDGWROHJDOSHUVRQVRWKHUWKDQFRUSRUDWLRQVLQWKHFRQ-
RQ D SDUWLFXODU VSHFLHV RI OHJDO SHUVRQ WKH FRUSRUDWLRQ         text of diplomatic protection. The case law of the PCIJ
There are two explanations for this. First, corporations,                  shows that a commune155 (municipality) or university156
XQOLNHRWKHUOHJDOSHUVRQVKDYHFHUWDLQFRPPRQXQLIRUP                  PD\ LQ FHUWDLQ FLUFXPVWDQFHV TXDOLI\ DV D OHJDO SHUVRQ
IHDWXUHVWKH\DUHSUR¿WPDNLQJHQWHUSULVHVZKRVHFDSLWDO                 and as national of a State. There is no reason why such
LVJHQHUDOO\UHSUHVHQWHGE\VKDUHVLQZKLFKWKHUHLVD¿UP               OHJDO SHUVRQV VKRXOG QRW TXDOLI\ IRU GLSORPDWLF SURWHF-
distinction between the separate entity of the corporation                 tion if injured abroad, provided that they are autonomous
DQG WKH VKDUHKROGHUV ZLWK OLPLWHG OLDELOLW\ DWWDFKLQJ WR          HQWLWLHVQRWIRUPLQJSDUWRIWKHDSSDUDWXVRIWKHSURWHFW-
the latter. Secondly, it is mainly the corporation, unlike                 LQJ 6WDWH157 1RQSUR¿WPDNLQJ IRXQGDWLRQV FRPSULVLQJ
the public enterprise, the university, the municipality, the               assets set aside by a donor or testator for a charitable pur-
IRXQGDWLRQDQGRWKHUVXFKOHJDOSHUVRQVWKDWHQJDJHVLQ                  SRVH FRQVWLWXWH OHJDO SHUVRQV ZLWKRXW PHPEHUV 7RGD\
IRUHLJQWUDGHDQGLQYHVWPHQWDQGZKRVHDFWLYLWLHVIXHOQRW                many foundations fund projects abroad to promote health,
RQO\ WKH HQJLQHV RI LQWHUQDWLRQDO HFRQRPLF OLIH EXW DOVR          ZHOIDUH ZRPHQ¶V ULJKWV KXPDQ ULJKWV DQG WKH HQYLURQ-
the machinery of international dispute settlement. Dip-                    PHQWLQGHYHORSLQJFRXQWULHV6KRXOGVXFKDOHJDOSHUVRQ
ORPDWLF SURWHFWLRQ LQ UHVSHFW RI OHJDO SHUVRQV LV PDLQO\          EHVXEMHFWHGWRDQLQWHUQDWLRQDOO\ZURQJIXODFWE\WKHKRVW
DERXW WKH SURWHFWLRQ RI IRUHLJQ LQYHVWPHQW7KLV LV ZK\            6WDWH LW LV SUREDEOH WKDW LW ZRXOG EH JUDQWHG GLSORPDWLF
WKH FRUSRUDWLRQ LV WKH OHJDO SHUVRQ WKDW RFFXSLHV FHQWUH          protection by the State under whose laws it has been cre-
VWDJH LQ WKH ¿HOG RI GLSORPDWLF SURWHFWLRQ DQG ZK\ WKH           DWHG1RQJRYHUQPHQWDORUJDQL]DWLRQVHQJDJHGLQZRUWK\
present set of draft articles do—and should—concern                        FDXVHVDEURDGZRXOGDSSHDUWRIDOOLQWRWKHVDPHFDWHJRU\
WKHPVHOYHVODUJHO\ZLWKWKLVHQWLW\                                       as foundations.158
   ,Q WKH RUGLQDU\ VHQVH RI WKH ZRUG ³SHUVRQ´ LV D                153
                                                                                   7KH4XHHQv. H. 07UHDVXU\DQG&RPPLVVLRQHUVRI,QODQG5HY
KXPDQEHLQJ,QWKHOHJDOVHQVHKRZHYHUD³SHUVRQ´LV                   enue, ex parte'DLO\0DLODQG*HQHUDO7UXVWSOF&DVH-XGJPHQW
DQ\EHLQJREMHFWDVVRFLDWLRQRULQVWLWXWLRQZKLFKWKHODZ               RIWKH&RXUWRI6HSWHPEHU, European Court of Justice, (XUR
                                                                           SHDQ&RXUW5HSRUWV, p. 5483, at para. 19.
HQGRZV ZLWK WKH FDSDFLW\ RI DFTXLULQJ ULJKWV DQG LQFXU-                154
                                                                                   %DUFHORQD 7UDFWLRQ 6HFRQG 3KDVH 'HFLVLRQ (see footnote 40
ULQJGXWLHV$OHJDOV\VWHPPD\FRQIHUOHJDOSHUVRQDOLW\                  above), pp. 34–35, para. 38.
on whatever object or association it pleases. There is no                      155
                                                                                   In Certain German Interests in Polish Upper Silesia, the PCIJ
FRQVLVWHQF\ RU XQLIRUPLW\ DPRQJ OHJDO V\VWHPV LQ WKH               KHOGWKDWWKHFRPPXQHRI5DWLERUIHOOZLWKLQWKHFDWHJRU\RI³*HUPDQ
FRQIHUPHQWRIOHJDOSHUVRQDOLW\                                           QDWLRQDO´ZLWKLQWKHPHDQLQJRIWKH*HUPDQ±3ROLVK&RQYHQWLRQFRQ-
                                                                           FHUQLQJ8SSHU6LOHVLD 0HULWV-XGJPHQW1R,  P.C.I.J. Reports,
                                                                           Series A, 1R  S  DW SS ± 7KH &RQYHQWLRQ ZDV VLJQHG LQ
   7KHUHLVMXULVSUXGHQWLDOGHEDWHDERXWWKHOHJDOQDWXUH               Geneva on 15 May 1922 (see G. Kaeckenbeeck, The International
RIOHJDOSHUVRQDOLW\DQGLQSDUWLFXODUDERXWWKHPDQQHU                 ([SHULPHQWRI8SSHU6LOHVLD, London, Oxford University Press, 1942,
LQZKLFKDOHJDOSHUVRQFRPHVLQWREHLQJ7KH³¿FWLRQ´                    p. 572).
WKHRU\PDLQWDLQVWKDWQROHJDOSHUVRQFDQFRPHLQWREHLQJ                     156
                                                                                   In the statement from the case $SSHDO IURP D -XGJPHQW RI WKH
without a formal act of incorporation by the State. This                   +XQJDUR&]HFKRVORYDN 0L[HG$UELWUDO 7ULEXQDO 7KH 3HWHU 3i]PiQ\
means that a body other than a natural person may obtain                   8QLYHUVLW\  WKH 3&,- KHOG WKDW WKH 3HWHU 3i]PiQ\ 8QLYHUVLW\ ZDV
                                                                           D +XQJDULDQ QDWLRQDO LQ WHUPV RI DUWLFOH  RI WKH 7UHDW\ RI 3HDFH
WKHSULYLOHJHVRISHUVRQDOLW\E\DQDFWRI6WDWHZKLFKE\                EHWZHHQWKH$OOLHGDQG$VVRFLDWHG3RZHUVDQG+XQJDU\ 7UHDW\RI7UL-
D¿FWLRQRIODZHTXDWHVLWWRDQDWXUDOSHUVRQVXEMHFWWR                DQRQ DQGWKHUHIRUHZDVHQWLWOHGWRWKHUHVWLWXWLRQRISURSHUW\EHORQJLQJ
VXFKOLPLWDWLRQVDVWKHODZPD\LPSRVH$FFRUGLQJWRWKH                  to it (-XGJPHQW3&,-5HSRUWV, Series A/B, 1Rp. 208, at
³UHDOLVW´WKHRU\RQWKHRWKHUKDQGFRUSRUDWHH[LVWHQFHLV               pp. 227–232).
DUHDOLW\DQGGRHVQRWGHSHQGRQ6WDWHUHFRJQLWLRQ,IDQ
                                                                               157
                                                                                   As diplomatic protection is a process reserved for the protection
                                                                           RIQDWXUDORUOHJDOSHUVRQVQRWIRUPLQJSDUWRIWKH6WDWHLWIROORZVWKDW
DVVRFLDWLRQRUERG\DFWVLQIDFWDVDVHSDUDWHOHJDOHQWLW\              LQPRVWLQVWDQFHVWKHPXQLFLSDOLW\DVDORFDOEUDQFKRIJRYHUQPHQWDQG
LWEHFRPHVDOHJDOSHUVRQZLWKDOOLWVDWWULEXWHVZLWKRXW               WKHXQLYHUVLW\IXQGHGDQGLQWKH¿QDOUHVRUWFRQWUROOHGE\WKH6WDWH
UHTXLULQJJUDQWRIOHJDOSHUVRQDOLW\E\WKH6WDWH:KDWHYHU               will not qualify for diplomatic protection. Private universities would,
the merits of the realist theory, it is clear that, to exist, a            however, qualify for diplomatic protection, as would private schools, if
OHJDOSHUVRQPXVWKDYHVRPHUHFRJQLWLRQE\ODZWKDWLV                  WKH\HQMR\HGOHJDOSHUVRQDOLW\XQGHUPXQLFLSDOODZ
                                                                               158
                                                                                  6HHIXUWKHU.'RHKULQJ³'LSORPDWLFSURWHFWLRQRIQRQJRYHUQ-
                                                                           PHQWDORUJDQL]DWLRQV´LQ05DPD0RQWDOGR HG (OGHUHFKRLQWHUQD
    152
        In his separate opinion in (/6,-XGJH2GDVSRNHRI³WKHJHQHUDO  FLRQDOHQXQPXQGRHQWUDQVIRUPDFLyQ liber amicorum en homenaje
SULQFLSOHVRIODZFRQFHUQLQJFRPSDQLHV´LQWKHFRQWH[WRIVKDUHKROGHUV¶
ULJKWV VHHIRRWQRWHDERYH SS±                                                                                          &RQWLQXHGRQQH[WSDJH
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<pre>                             5HSRUWRIWKH,QWHUQDWLRQDO/DZ&RPPLVVLRQRQWKHZRUNRIWKH¿IW\VL[WKVHVVLRQ
   7KHGLYHUVLW\RIJRDOVDQGVWUXFWXUHVLQOHJDOSHUVRQV                  %RWK QDWXUDO DQG OHJDO SHUVRQV DUH UHTXLUHG WR
other than corporations makes it impossible to draft sepa-                 H[KDXVW ORFDO UHPHGLHV $ IRUHLJQ FRPSDQ\ ¿QDQFHG
rate and distinct provisions to cover the diplomatic pro-                  partly or mainly by public capital is also required to
WHFWLRQRIGLIIHUHQWNLQGVRIOHJDOSHUVRQV7KHZLVHVWDQG              H[KDXVWORFDOUHPHGLHVZKHUHLWHQJDJHVLQDFWDMXUHJHV
only realistic, course is to draft a provision that extends                tionis 1RQQDWLRQDOV RI WKH 6WDWH H[HUFLVLQJ SURWHFWLRQ
the principles of diplomatic protection adopted for cor-                   entitled to diplomatic protection in the exceptional cir-
SRUDWLRQVWRRWKHUOHJDOSHUVRQV²VXEMHFWWRWKHFKDQJHV                   cumstances provided for in article 8, are also required to
necessary to take account of the different features of each                exhaust local remedies.
OHJDO SHUVRQ 7KH SURSRVHG SURYLVLRQ VHHNV WR DFKLHYH
WKLV,WSURYLGHVWKDWWKHSULQFLSOHVJRYHUQLQJWKH6WDWHRI                 3DUDJUDSKUHIHUVWRWKHEULQJLQJRIDFODLPUDWKHU
nationality of corporations and the application of the prin-               WKDQ WKH SUHVHQWDWLRQ RI WKH FODLP DV WKH ZRUG ³EULQJ´
ciple of continuous nationality to corporations, contained                 PRUH DFFXUDWHO\ UHÀHFWV WKH SURFHVV LQYROYHG WKDQ WKH
in articles 9 and 10 respectively, will apply, “as appropri-               ZRUG ³SUHVHQW´ ZKLFK VXJJHVWV D IRUPDO DFW WR ZKLFK
DWH´ WR WKH GLSORPDWLF SURWHFWLRQ RI OHJDO SHUVRQV RWKHU         consequences are attached and is best used to identify the
than corporations. Initially the phrase “PXWDWLVPXWDQGLV´                moment in time at which the claim is formally made.
was used, but the Commission decided not to employ a
/DWLQ PD[LP ZKHQ ³DV DSSURSULDWH´ IXOO\ FDSWXUHG WKH                  7KHSKUDVH³DOOORFDOUHPHGLHV´PXVWEHUHDGVXE-
PHDQLQJWKDWWKH&RPPLVVLRQVRXJKWWRFRQYH\1RUHIHU-                    ject to article 16 which describes the exceptional circum-
ence is made to articles 11 and 12 as they are concerned                   stances in which local remedies need not be exhausted.
ZLWKVKDUHKROGHUV¶ULJKWVRQO\                                            6XJJHVWLRQVWKDWUHIHUHQFHEHPDGHLQWKLVSURYLVLRQWR
                                                                           WKHQHHGWRH[KDXVWRQO\³DGHTXDWHDQGHIIHFWLYH´ORFDO
                               PART THREE                                  remedies were not followed for two reasons. Firstly,
                         LOCAL REMEDIES                                    EHFDXVH VXFK D TXDOL¿FDWLRQ RI WKH UHTXLUHPHQW WKDW
                                                                           local remedies be exhausted needs special attention in a
           $UWLFOH ([KDXVWLRQRIORFDOUHPHGLHV                       separate provision. Secondly, the fact that the burden of
                                                                           SURRI LV JHQHUDOO\ RQ WKH UHVSRQGHQW 6WDWH WR VKRZ WKDW
     $ 6WDWH PD\ QRW EULQJ DQ LQWHUQDWLRQDO FODLP               local remedies are available, while the burden of proof
LQ UHVSHFW RI DQ LQMXU\ WR D QDWLRQDO RU RWKHU SHUVRQ           LV JHQHUDOO\ RQ WKH DSSOLFDQW 6WDWH WR VKRZ WKDW WKHUH
UHIHUUHG WR LQ GUDIW DUWLFOH  EHIRUH WKH LQMXUHG SHU            are no effective remedies open to the injured person,163
VRQKDVVXEMHFWWRGUDIWDUWLFOHH[KDXVWHGDOOORFDO                 requires that these two aspects of the local remedies rule
UHPHGLHV                                                                  be treated separately.
     ³/RFDO UHPHGLHV´ PHDQV OHJDO UHPHGLHV ZKLFK
DUHRSHQWRWKHLQMXUHGSHUVRQEHIRUHWKHMXGLFLDORU                     (5) The remedies available to an alien that must be
DGPLQLVWUDWLYHFRXUWVRUERGLHVZKHWKHURUGLQDU\RU                      H[KDXVWHG EHIRUH DQ LQWHUQDWLRQDO FODLP LV EURXJKW ZLOO
VSHFLDO RI WKH 6WDWH DOOHJHG WR EH UHVSRQVLEOH IRU WKH          LQHYLWDEO\YDU\IURP6WDWHWR6WDWH1RFRGL¿FDWLRQFDQ
LQMXU\                                                                    WKHUHIRUH VXFFHHG LQ SURYLGLQJ DQ DEVROXWH UXOH JRYHUQ-
                                                                           LQJDOOVLWXDWLRQV3DUDJUDSKVHHNVWRGHVFULEHLQEURDG
                             Commentary                                    WHUPV WKH PDLQ NLQG RI OHJDO UHPHGLHV WKDW PXVW EH
                                                                           exhausted.164,QWKH¿UVWLQVWDQFHLWLVFOHDUWKDWWKHIRUHLJQ
(1) Article 14 seeks to codify the rule of customary                       national must exhaust all the available judicial remedies
LQWHUQDWLRQDO ODZ UHTXLULQJ WKH H[KDXVWLRQ RI ORFDO UHP-            provided for in the municipal law of the respondent State.
edies as a prerequisite for the presentation of an interna-                If the municipal law in question permits an appeal in the
WLRQDOFODLP7KLVUXOHZDVUHFRJQL]HGE\WKH,&-LQWKH                  FLUFXPVWDQFHV RI WKH FDVH WR WKH KLJKHVW FRXUW VXFK DQ
,QWHUKDQGHO case as “a well-established rule of custom-                    DSSHDOPXVWEHEURXJKWLQRUGHUWRVHFXUHD¿QDOGHFLVLRQ
DU\LQWHUQDWLRQDOODZ´159 and by a Chamber of the ICJ in                   LQWKHPDWWHU(YHQLIWKHUHLVQRDSSHDODVRIULJKWWRD
the (/6, case as “an important principle of customary                      KLJKHUFRXUWEXWVXFKDFRXUWKDVWKHGLVFUHWLRQWRJUDQW
LQWHUQDWLRQDO ODZ´160 The exhaustion of local remedies                   OHDYHWRDSSHDOWKHIRUHLJQQDWLRQDOPXVWVWLOODSSO\IRU
rule ensures that “the State where the violation occurred
should have an opportunity to redress it by its own means,
ZLWKLQWKHIUDPHZRUNRILWVRZQGRPHVWLFV\VWHP´161 The
Commission has previously considered the exhaustion of                     DQG WKH FRUUHVSRQGLQJ FRPPHQWDU\ DUH LQ <HDUERRN« , vol. II
local remedies in the context of its work on State respon-                  3DUW 7ZR  FKDS ,, VHFW % SS ±  DQG DUWLFOH  RI WKH GUDIW
VLELOLW\ DQG FRQFOXGHG WKDW LW LV D ³SULQFLSOH RI JHQHUDO        DUWLFOHVRQ6WDWHUHVSRQVLELOLW\IRULQWHUQDWLRQDOO\ZURQJIXODFWVDGRSWHG
LQWHUQDWLRQDOODZ´VXSSRUWHGE\MXGLFLDOGHFLVLRQV6WDWH                 E\WKH&RPPLVVLRQDWLWV¿IW\WKLUGVHVVLRQ <HDUERRN«, vol. II
SUDFWLFHWUHDWLHVDQGWKHZULWLQJVRIMXULVWV162                          3DUW7ZR DQGFRUULJHQGXPS WKHFRPPHQWDU\WRWKLVDUWLFOHLV
                                                                           RQSDJHV±
 )RRWQRWHFRQWLQXHG                                                       163
                                                                                   The question of burden of proof was considered by the Special
DO SURIHVVRU (GXDUGR -LPpQH] GH $UpFKDJD, Montevideo, Fundación       Rapporteur in section C of his third report on diplomatic protection
Cultura Universitaria, 1994, pp. 571–580.                                  (see footnote 19 above). The Commission decided not to include a
                                                                           draft article on this subject (see Yearbook … 2002, vol. II (Part Two),
    159
        ,QWHUKDQGHO(see footnote 31 above), p. 27.
                                                                           pp. 62–64, paras. 240–252). See also the (OHWWURQLFD6LFXOD ((/6,) case
    160
        (OHWWURQLFD6LFXOD6S$((/6,) (see footnote 140 above), p. 42,  (footnote 140 above), pp. 46–48, paras. 59–63.
para. 50.                                                                      164
                                                                                   In the Ambatielos Claim, the arbitral tribunal declared that “it
    161
        ,QWHUKDQGHO (see footnote 31 above), p. 27.                        LVWKHZKROHV\VWHPRIOHJDOSURWHFWLRQDVSURYLGHGE\PXQLFLSDOODZ
    162
         See article 22 of the draft articles on State responsibility pro- ZKLFK PXVW KDYH EHHQ SXW WR WKH WHVW´ -XGJPHQW RI  0DUFK ,
YLVLRQDOO\ DSSURYHG E\ WKH &RPPLVVLRQ RQ ¿UVW UHDGLQJ Yearbook …  815,$$YRO;,, 6DOHV1R9 S 6HHIXUWKHURQWKLVVXE-
, vol. II (Part Two), chap. III, sect. D.1 (draft article 22 was       MHFW&)$PHUDVLQJKH/RFDO5HPHGLHVLQ,QWHUQDWLRQDO/DZ, 2nd ed.,
approved by the Commission at its twenty-ninth session and the text        &DPEULGJH8QLYHUVLW\3UHVV
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<pre>                                                                    Diplomatic protection                                                              
leave to appeal to that court.165 Courts in this connection                                      $UWLFOH &DWHJRU\RIFODLPV
include both ordinary and special courts since “the crucial
question is not the ordinary or extraordinary character of                          /RFDOUHPHGLHVVKDOOEHH[KDXVWHGZKHUHDQLQWHU
DOHJDOUHPHG\EXWZKHWKHULWJLYHVWKHSRVVLELOLW\RIDQ                      QDWLRQDOFODLPRUUHTXHVWIRUDGHFODUDWRU\MXGJPHQW
HIIHFWLYHDQGVXI¿FLHQWPHDQVRIUHGUHVV´166                                   UHODWHG WR WKH FODLP LV EURXJKW SUHSRQGHUDQWO\ RQ
                                                                                WKH EDVLV RI DQ LQMXU\ WR D QDWLRQDO RU RWKHU SHUVRQ
(6) Administrative remedies must also be exhausted.                             UHIHUUHGWRLQDUWLFOH
The injured alien is, however, only required to exhaust
VXFKUHPHGLHVZKLFKPD\UHVXOWLQDELQGLQJGHFLVLRQ+H                                                    Commentary
is not required to approach the executive for relief in the
exercise of its discretionary powers. Local remedies do                         (1) The exhaustion of local remedies rule applies only
QRWLQFOXGHUHPHGLHVDVRIJUDFH167 or those whose “pur-                        to cases in which the claimant State has been injured
SRVHLVWRREWDLQDIDYRXUDQGQRWWRYLQGLFDWHDULJKW´168                    ³LQGLUHFWO\´ WKDW LV WKURXJK LWV QDWLRQDO174 It does not
5HTXHVWVIRUFOHPHQF\DQGUHVRUWWRDQRPEXGVPDQJHQ-                           apply where the claimant State is directly injured by the
HUDOO\IDOOLQWRWKLVFDWHJRU\169                                              ZURQJIXODFWRIDQRWKHU6WDWHDVKHUHWKH6WDWHKDVDGLV-
                                                                                WLQFWUHDVRQRILWVRZQIRUEULQJLQJDQLQWHUQDWLRQDOFODLP
(7) In order to satisfactorily lay the foundation for an
LQWHUQDWLRQDOFODLPRQWKHJURXQGWKDWORFDOUHPHGLHVKDYH                        ,QSUDFWLFHLWLVGLI¿FXOWWRGHFLGHZKHWKHUWKHFODLP
EHHQH[KDXVWHGWKHIRUHLJQOLWLJDQWPXVWUDLVHWKHEDVLF                      LV³GLUHFW´RU³LQGLUHFW´ZKHUHLWLV³PL[HG´LQWKHVHQVH
DUJXPHQWVKHLQWHQGVWRUDLVHLQLQWHUQDWLRQDOSURFHHGLQJV                     that it contains elements of both injury to the State and
LQWKHPXQLFLSDOSURFHHGLQJV,QWKH(/6, case the Cham-                        injury to the nationals of the State. Many disputes before
ber of the ICJ stated that:                                                     international courts have presented the phenomenon of
                                                                                the mixed claim. In the 8QLWHG 6WDWHV 'LSORPDWLF DQG
IRUDQLQWHUQDWLRQDOFODLPWREHDGPLVVLEOHLWLVVXI¿FLHQWLIWKHHVVHQFH    Consular Staff in Tehran case,175 there was a direct vio-
RI WKH FODLP KDV EHHQ EURXJKW EHIRUH WKH FRPSHWHQW WULEXQDOV DQG     lation on the part of the Islamic Republic of Iran of the
pursued as far as permitted by local law and procedures, and without
success.170                                                                     duty it owed to the United States of America to protect
                                                                                its diplomats and consuls, but at the same time there was
This test is preferable to the stricter test enunciated in the                  injury to the person of the nationals (diplomats and con-
)LQQLVK6KLSV$UELWUDWLRQ that:                                                 VXOV  KHOG KRVWDJH DQG LQ WKH ,QWHUKDQGHO case,176 there
                                                                                ZHUH FODLPV EURXJKW E\ 6ZLW]HUODQG UHODWLQJ WR D GLUHFW
DOOWKHFRQWHQWLRQVRIIDFWDQGSURSRVLWLRQVRIODZZKLFKDUHEURXJKW          ZURQJWRLWVHOIDULVLQJRXWRIEUHDFKRIDWUHDW\DQGWRDQ
IRUZDUGE\WKHFODLPDQW*RYHUQPHQW>«@PXVWKDYHEHHQLQYHVWLJDWHG             LQGLUHFWZURQJUHVXOWLQJIURPDQLQMXU\WRDQDWLRQDOFRU-
and adjudicated upon by the municipal Courts.171                                poration. In 8QLWHG6WDWHV'LSORPDWLFDQG&RQVXODU6WDII
                                                                                in Tehran the ICJ treated the claim as a direct violation of
   7KHIRUHLJQOLWLJDQWPXVWWKHUHIRUHSURGXFHWKHHYL-                       LQWHUQDWLRQDO ODZ DQG LQ WKH ,QWHUKDQGHO case the Court
dence available to him to support the essence of his claim                      found that the claim was preponderantly indirect and that
LQWKHSURFHVVRIH[KDXVWLQJORFDOUHPHGLHV172 He cannot                       ,QWHUKDQGHO had failed to exhaust local remedies.
use the international remedy afforded by diplomatic pro-
tection to overcome faulty preparation or presentation of                       (3) In the case of a mixed claim it is incumbent upon
his claim at the municipal level.173                                            the tribunal to examine the different elements of the claim
                                                                                and to decide whether the direct or the indirect element
     165
         This would include the FHUWLRUDUL process before the United           is preponderant. In the (/6, case a Chamber of the ICJ
States Supreme Court.
                                                                                UHMHFWHGWKHDUJXPHQWRIWKH8QLWHG6WDWHVWKDWSDUWRILWV
     166
         %6FKRXZ1LHOVHQv'HQPDUN$SSOLFDWLRQ1R -XGJ
PHQWRI6HSWHPEHU, European Commission and European Court
                                                                                claim was premised on the violation of a treaty and that
RI +XPDQ 5LJKWV <HDUERRN RI WKH (XURSHDQ &RQYHQWLRQ RQ +XPDQ         it was therefore unnecessary to exhaust local remedies,
5LJKWV±SUHIHUULQJWRWKHFRQVLGHUDWLRQRIWKH,QVWLWXWH      KROGLQJWKDW
of International Law in its resolution of 1954 ($QQXDLUHGHO¶,QVWLWXWGH
GURLWLQWHUQDWLRQDO, vol. 46, 1956, p. 364). See also Lawless v. ,UHODQG      the Chamber has no doubt that the matter which colours and pervades
$SSOLFDWLRQ1R -XGJPHQWRI$XJXVW, European Com-               WKH8QLWHG6WDWHVFODLPDVDZKROHLVWKHDOOHJHGGDPDJHWR5D\WKHRQ
PLVVLRQDQG(XURSHDQ&RXUWRI+XPDQ5LJKWV<HDUERRNRIWKH(XUR               DQG0DFKOHWW>8QLWHG6WDWHVFRUSRUDWLRQV@177
SHDQ&RQYHQWLRQRQ+XPDQ5LJKWV±, p. 308, at pp. 318–322.
     167
         &ODLP RI )LQQLVK VKLSRZQHUV DJDLQVW *UHDW %ULWDLQ LQ UHVSHFW  Closely related to the preponderance test is the sine
RI WKH XVH RI FHUWDLQ )LQQLVK YHVVHOV GXULQJ WKH ZDU ³)LQQLVK 6KLSV qua non RU³EXWIRU´WHVWZKLFKDVNVZKHWKHUWKHFODLP
$UELWUDWLRQ´  $ZDUG RI  0D\ , UNRIAA, vol. III (Sales
No. 1949.V.2), p. 1479.                                                             174
                                                                                        This accords with the principle expounded by the PCIJ in the
     168
         'H %HFNHU v. %HOJLXP $SSOLFDWLRQ 1R  'HFLVLRQ RI
                                                                                0DYURPPDWLV3DOHVWLQH&RQFHVVLRQVFDVHWKDW³>E@\WDNLQJXSWKHFDVH
 -XQH  European Commission and European Court of Human
                                                                                RIRQHRILWVVXEMHFWVDQGE\UHVRUWLQJWRGLSORPDWLFDFWLRQRULQWHUQD-
5LJKWV<HDUERRNRIWKH(XURSHDQ&RQYHQWLRQRQ+XPDQ5LJKWV±
                                                                                WLRQDOMXGLFLDOSURFHHGLQJVRQKLVEHKDOID6WDWHLVLQUHDOLW\DVVHUWLQJ
, p. 238.
                                                                                LWVRZQULJKWV²LWVULJKWWRHQVXUHLQWKHSHUVRQRILWVVXEMHFWVUHVSHFW
     169
          See $YHQD DQG 2WKHU 0H[LFDQ 1DWLRQDOV 0H[LFR v. 8QLWHG        IRUWKHUXOHVRILQWHUQDWLRQDOODZ´ VHHIRRWQRWHDERYH S
6WDWHVRI$PHULFD -XGJPHQWRI0DUFK I.C.J. Reports 2004,                 175
                                                                                         8QLWHG6WDWHV'LSORPDWLFDQG&RQVXODU6WDIILQ7HKUDQ-XGJ
p. 12, at pp. 63–66, paras. 135–143.
                                                                                PHQW ,&- 5HSRUWV , p. 3. See, too, $YHQD DQG 2WKHU 0H[LFDQ
     170
         (OHWWURQLFD6LFXOD6S$ (/6, (see footnote 140 above), p. 46,       Nationals (see footnote 169 above), para. 40, in which the Court held
para. 59.                                                                       WKDW0H[LFRKDGVXIIHUHGGLUHFWO\WKURXJKLQMXU\WRLWVQDWLRQDOVLQWHUPV
     171
         )LQQLVK6KLSV$UELWUDWLRQ(see footnote 167 above), p. 1502.           of article 36 (1) of the Vienna Convention on Consular Relations.
     172                                                                            176
         See the Ambatielos Claim (see footnote 164 above).                             See footnote 31 above.
     173
         See D. P. O’Connell, International Law, vol. 2, 2nd ed., London,           177
                                                                                        (OHWWURQLFD6LFXOD6S$ (/6, (see footnote 140 above), p. 43,
Stevens, 1970, p. 1059.                                                         para. 52. See also, the ,QWHUKDQGHOcase (footnote 31 above), p. 28.
</pre>

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<pre>                             5HSRUWRIWKH,QWHUQDWLRQDO/DZ&RPPLVVLRQRQWKHZRUNRIWKH¿IW\VL[WKVHVVLRQ
FRPSULVLQJ HOHPHQWV RI ERWK GLUHFW DQG LQGLUHFW LQMXU\                     $UWLFOH ([FHSWLRQVWRWKHORFDOUHPHGLHVUXOH
ZRXOG KDYH EHHQ EURXJKW ZHUH LW QRW IRU WKH FODLP RQ
behalf of the injured national. If this question is answered                       /RFDOUHPHGLHVGRQRWQHHGWREHH[KDXVWHGZKHUH
QHJDWLYHO\WKHFODLPLVDQLQGLUHFWRQHDQGORFDOUHPHGLHV
must be exhausted. There is, however, little to distin-                             D  7KHORFDOUHPHGLHVSURYLGHQRUHDVRQDEOHSRV
JXLVK WKH SUHSRQGHUDQFH WHVW IURP WKH ³EXW IRU´ WHVW ,I             VLELOLW\RIHIIHFWLYHUHGUHVV
a claim is preponderantly based on injury to a national
this is evidence of the fact that the claim would not have                          b  7KHUH LV XQGXH GHOD\ LQ WKH UHPHGLDO SUR
EHHQ EURXJKW EXW IRU WKH LQMXU\ WR WKH QDWLRQDO ,Q WKHVH           FHVV ZKLFK LV DWWULEXWDEOH WR WKH 6WDWH DOOHJHG WR EH
circumstances the Commission preferred to adopt one test                       UHVSRQVLEOH
only—that of preponderance.                                                         c  7KHUH LV QR UHOHYDQW FRQQHFWLRQ EHWZHHQ WKH
                                                                               LQMXUHGSHUVRQDQGWKH6WDWHDOOHJHGWREHUHVSRQVLEOH
   2WKHU³WHVWV´LQYRNHGWRHVWDEOLVKZKHWKHUWKHFODLP                     RU WKH FLUFXPVWDQFHV RI WKH FDVH RWKHUZLVH PDNH WKH
is direct or indirect are not so much tests as factors that                    H[KDXVWLRQRIORFDOUHPHGLHVXQUHDVRQDEOH
PXVWEHFRQVLGHUHGLQGHFLGLQJZKHWKHUWKHFODLPLVSUH-
SRQGHUDQWO\ZHLJKWHGLQIDYRXURIDGLUHFWRUDQLQGLUHFW                          G  7KH6WDWHDOOHJHGWREHUHVSRQVLEOHKDVZDLYHG
FODLPRUZKHWKHUWKHFODLPZRXOGQRWKDYHEHHQEURXJKW                        WKHUHTXLUHPHQWWKDWORFDOUHPHGLHVEHH[KDXVWHG
but for the injury to the national. The principal factors to
EHFRQVLGHUHGLQPDNLQJWKLVDVVHVVPHQWDUHWKHVXEMHFW                                                     Commentary
of the dispute, the nature of the claim and the remedy
claimed. Thus where the subject of the dispute is a dip-                       (1) Article 16 deals with the exceptions to the exhaustion
ORPDWLFRI¿FLDO178 or State property179 the claim will nor-                    RIORFDOUHPHGLHVUXOH3DUDJUDSKV a) to (F), which deal
mally be direct, and where the State seeks monetary relief                     with circumstances which make it unfair or unreasonable
on behalf of its national the claim will be indirect.                          that an injured alien should be required to exhaust local
                                                                               UHPHGLHVDVDSUHFRQGLWLRQIRUWKHEULQJLQJRIDFODLPDUH
(5) Article 15 makes it clear that local remedies are to                       clear exceptions to the exhaustion of local remedies rule.
be exhausted not only in respect of an international claim                     3DUDJUDSK G) deals with a different situation—that which
EXW DOVR LQ UHVSHFW RI D UHTXHVW IRU D GHFODUDWRU\ MXGJ-             arises where the respondent State has waived compliance
PHQW EURXJKW SUHSRQGHUDQWO\ RQ WKH EDVLV RI DQ LQMXU\                 with the local remedies rule.
WR D QDWLRQDO $OWKRXJK WKHUH LV VXSSRUW IRU WKH YLHZ
WKDW ZKHUH D 6WDWH PDNHV QR FODLP IRU GDPDJHV IRU DQ                Paragraph a
injured national, but simply requests a decision on the                           3DUDJUDSK a) deals with the exception to the exhaus-
interpretation and application of a treaty, there is no need                   tion of local remedies rule sometimes described, in broad
for local remedies to be exhausted,180 there are cases in                      WHUPVDVWKH³IXWLOLW\´RU³LQHIIHFWLYHQHVV´H[FHSWLRQ7KH
which States have been required to exhaust local rem-                          Commission considered three options for the formulation
HGLHV ZKHUH WKH\ KDYH VRXJKW D GHFODUDWRU\ MXGJPHQW                    RIDUXOHGHVFULELQJWKHFLUFXPVWDQFHVLQZKLFKORFDOUHP-
UHODWLQJWRWKHLQWHUSUHWDWLRQDQGDSSOLFDWLRQRIDWUHDW\                    edies need not be exhausted:
DOOHJHGWRKDYHEHHQYLRODWHGE\WKHUHVSRQGHQW6WDWHLQ
the course of, or incidental to, its unlawful treatment of                              L   7KHORFDOUHPHGLHVDUHREYLRXVO\IXWLOH
a national.181 Article 15 makes it clear that a request for
D GHFODUDWRU\ MXGJPHQW per se is not exempt from the                                (ii)    The local remedies offer no reasonable pros-
exhaustion of local remedies rule. Where the request for                                       SHFWRIVXFFHVV
GHFODUDWRU\MXGJPHQWLVLQFLGHQWDOWRRUUHODWHGWRDFODLP
LQYROYLQJLQMXU\WRDQDWLRQDO²ZKHWKHUOLQNHGWRDFODLP                              (iii)   The local remedies provide no reasonable
IRUFRPSHQVDWLRQRUUHVWLWXWLRQRQEHKDOIRIWKHLQMXUHG                                      possibility of an effective redress.
QDWLRQDORUQRW²it is still possible for a tribunal to hold
                                                                               $OOWKUHHRIWKHVHRSWLRQVHQMR\VRPHVXSSRUWDPRQJWKH
that in all the circumstances of the case the request for
                                                                               authorities.
DGHFODUDWRU\MXGJPHQWLVSUHSRQGHUDQWO\EURXJKWRQWKH
basis of an injury to the national. Such a decision would                         7KH &RPPLVVLRQ FRQVLGHUHG WKH ³REYLRXV IXWLOLW\´
be fair and reasonable where there is evidence that the                        WHVWH[SRXQGHGE\$UELWUDWRU%DJJHLQWKH)LQQLVK6KLSV
claimant State has deliberately requested a declaratory                        Arbitration,182EXWGHFLGHGWKDWLWVHWWRRKLJKDWKUHVKROG
MXGJPHQW LQ RUGHU WR DYRLG FRPSOLDQFH ZLWK WKH ORFDO                  On the other hand, the Commission took the view that
remedies rule.                                                                 WKHWHVWRI³QRUHDVRQDEOHSURVSHFWRIVXFFHVV´DFFHSWHG
                                                                               E\WKH(XURSHDQ&RPPLVVLRQRI+XPDQ5LJKWVLQVHYHUDO
                                                                               decisions,183ZDVWRRJHQHURXVWRWKHFODLPDQW,WWKHUHIRUH
     178
          See the 8QLWHG6WDWHV'LSORPDWLFDQG&RQVXODU6WDIILQ7HKUDQ
case (footnote 175 above).
     179
         See the Corfu Channel case (8QLWHG.LQJGRPv. Albania), Mer              182
                                                                                        )LQQLVK6KLSV$UELWUDWLRQ(see footnote 167 above), p. 1504.
LWV-XGJPHQW, ,&-5HSRUWV, p. 4.                                          183
                                                                                        See Retimag S. A. v )HGHUDO 5HSXEOLF RI *HUPDQ\ $SSOLFD
     180
         See &DVH FRQFHUQLQJ WKH $LU 6HUYLFHV $JUHHPHQW RI  0DUFK    WLRQ1R-XGJPHQWRI'HFHPEHU, European Commis-
EHWZHHQ WKH 8QLWHG 6WDWHV RI $PHULFD DQG )UDQFH 'HFLVLRQ RI       VLRQDQG(XURSHDQ&RXUWRI+XPDQ5LJKWV<HDUERRNRIWKH(XURSHDQ
'HFHPEHU815,$$YRO;9,,, 6DOHV1R()9 S             &RQYHQWLRQRQ+XPDQ5LJKWVSDWSDQG;<DQG= v.
and $SSOLFDELOLW\ RI WKH 2EOLJDWLRQ WR $UELWUDWH XQGHU 6HFWLRQ  RI 8QLWHG.LQJGRP$SSOLFDWLRQ1RVDQG'HFLVLRQRI
WKH8QLWHG1DWLRQV+HDGTXDUWHUV$JUHHPHQWRI-XQH$GYLVRU\           'HFHPEHU, Council of Europe, European Commission of Human
Opinion, ,&-5HSRUWV, p. 12, at p. 29, para. 41.                       5LJKWV'HFLVLRQVDQG5HSRUWV, vol. 18, p. 66, at p. 74. See also the com-
     181
         See ,QWHUKDQGHO IRRWQRWHDERYH SS±DQG(OHWWURQLFD      mentary to article 22 of the draft articles on State responsibility adopted
6LFXOD6S$ (/6, (footnote 140 above), p. 43.                               by the Commission at its twenty-ninth session (footnote 162 above).
</pre>

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<pre>                                                                     Diplomatic protection                                                                
SUHIHUUHGWKHWKLUGRSWLRQZKLFKDYRLGVWKHVWULQJHQWODQ-                       PXVW EH GHWHUPLQHG ZLWK UHJDUG WR WKH ORFDO ODZ DQG
JXDJH RI ³REYLRXV IXWLOLW\´ EXW QHYHUWKHOHVV LPSRVHV D                   cirumstances at the time at which they are to be used. This
KHDY\EXUGHQRQWKHFODLPDQWE\UHTXLULQJWKDWKHSURYH                         is a question to be decided by the competent international
WKDWLQWKHFLUFXPVWDQFHVRIWKHFDVHDQGKDYLQJUHJDUG                        WULEXQDOFKDUJHGZLWKWKHWDVNRIH[DPLQLQJWKHH[KDXV-
WR WKH OHJDO V\VWHP RI WKH UHVSRQGHQW 6WDWH WKHUH LV QR              tion of local remedies. The decision on this matter must be
reasonable possibility of an effective redress. This test                        made on the assumption that the claim is meritorious.192
KDVLWVRULJLQLQDVHSDUDWHRSLQLRQRI6LU+HUVFK/DXWHU-
pacht in the Norwegian Loans case184 and is supported by                         Paragraph b
WKHZULWLQJVRIMXULVWV185 Moreover, it accords with judi-
cial decisions which have held that local remedies need                          (5) That the requirement of exhaustion of local remedies
not be exhausted where the local court has no jurisdic-                          may be dispensed with in cases in which the respondent
WLRQRYHUWKHGLVSXWHLQTXHVWLRQ186WKHQDWLRQDOOHJLVOD-                      State is responsible for an unreasonable delay in allow-
WLRQMXVWLI\LQJWKHDFWVRIZKLFKWKHDOLHQFRPSODLQVZLOO                      LQJ D ORFDO UHPHG\ WR EH LPSOHPHQWHG LV FRQ¿UPHG E\
QRW EH UHYLHZHG E\ ORFDO FRXUWV187 the local courts are                    FRGL¿FDWLRQ DWWHPSWV193 KXPDQ ULJKWV LQVWUXPHQWV DQG
QRWRULRXVO\ODFNLQJLQLQGHSHQGHQFH188 there is a consist-                      practice,194 judicial decisions195 and scholarly opinion.
ent and well-established line of precedents adverse to the                       7KH&RPPLVVLRQZDVDZDUHRIWKHGLI¿FXOW\DWWDFKHGWR
DOLHQ189 the local courts do not have the competence to                         JLYLQJDQREMHFWLYHFRQWHQWRUPHDQLQJWR³XQGXHGHOD\´
JUDQWDQDSSURSULDWHDQGDGHTXDWHUHPHG\WRWKHDOLHQ190                        RU WR DWWHPSWLQJ WR SUHVFULEH D ¿[HG WLPH OLPLW ZLWKLQ
or the respondent State does not have an adequate system                         which local remedies are to be implemented. Each case
of judicial protection.191                                                       PXVWEHMXGJHGRQLWVRZQIDFWV$VWKH%ULWLVK±0H[LFDQ
                                                                                 Claims Commission stated in the (O2UR0LQLQJ DQG5DLO
(4) The question whether local remedies do or do not                             way Company case:
offer the reasonable possibility of an effective redress
                                                                                     The Commission will not attempt to lay down with precision just
                                                                                 ZLWKLQ ZKDW SHULRG D WULEXQDO PD\ EH H[SHFWHG WR UHQGHU MXGJPHQW
     184
         See the Case of Certain Norwegian Loans ()UDQFH v. Norway),             7KLVZLOOGHSHQGXSRQVHYHUDOFLUFXPVWDQFHVIRUHPRVWDPRQJVWWKHP
-XGJPHQW ,&-5HSRUWV, p. 9, at p. 39.                                   XSRQWKHYROXPHRIWKHZRUNLQYROYHGE\DWKRURXJKH[DPLQDWLRQRI
     185
         See the third report on diplomatic protection (footnote 19 above),      WKHFDVHLQRWKHUZRUGVXSRQWKHPDJQLWXGHRIWKHODWWHU196
para. 35.
     186
         See the 3DQHYH]\V6DOGXWLVNLV5DLOZD\ case (footnote 32 above),            3DUDJUDSK b makes it clear that the delay in the
SDQG$UELWUDWLRQXQGHU$UWLFOHRIWKH7UHDW\RI1HXLOO\, AJIL,         UHPHGLDOSURFHVVLVDWWULEXWDEOHWRWKH6WDWHDOOHJHGWREH
YRO  SDWS(O7ULXQIR&RPSDQ\ (footnote 127              responsible for an injury to an alien. The phrase “remedial
DERYH  SS ± 7KH ³/RWWLH 0D\´ ,QFLGHQW $UELWUDO DZDUG RI      SURFHVV´ LV SUHIHUUHG WR WKDW RI ³ORFDO UHPHGLHV´ DV LW LV
$SULO, UNRIAA, YRO;9SDWS-XGJH/DXWHUSDFKW¶V
separate opinion in the Norwegian Loans case (footnote 184 above),               meant to cover the entire process by which local remedies
SS ± DQG )LQQLVK 6KLSV $UELWUDWLRQ (footnote 167 above),             DUH LQYRNHG DQG LPSOHPHQWHG DQG WKURXJK ZKLFK ORFDO
p. 1535.                                                                         remedies are channelled.
     187
         See $UELWUDWLRQXQGHU$UWLFOHRIWKH7UHDW\RI1HXLOO\(foot-
note above). See also $IIDLUHGHVIRUrWVGX5KRGRSHFHQWUDO0HULWV            Paragraph c
$ZDUGRI0DUFK, UNRIAA, vol. ,,,SAmbatielos (foot-
QRWHDERYH SDQG,QWHUKDQGHO (footnote 31 above), p. 28.
     188
         See 5REHUW ( %URZQ 8QLWHG 6WDWHV  v. Great Britain, Arbi         (7) The exception to the exhaustion of local remedies
WUDO DZDUG RI  1RYHPEHU  815,$$ YRO 9, S  DQG         rule contained in article 16 (a), to the effect that local
9HOiVTXH]5RGUtJXH] v. +RQGXUDV0HULWV$ZDUGRI-XO\, ILM,             remedies do not need to be exhausted where “the local
vol. 28, 1989, p. 291, at pp. 304–309.                                           remedies provide no reasonable possibility of effec-
     189
         See 3DQHYH]\V6DOGXWLVNLV 5DLOZD\ IRRWQRWH  DERYH               WLYHUHGUHVV´GRHVQRWFRYHUVLWXDWLRQVZKHUHWKHORFDO
“S.S. Lisman´$ZDUGRI2FWREHU, UNRIAA, vol. III, p. 1767,
DW S  ³66 6HJXUDQFD´ $ZDUG RI  6HSWHPEHU   LELG,
SDWS)LQQLVK6KLSV$UELWUDWLRQ(footnote 167 above),                 192
                                                                                         See )LQQLVK6KLSV$UELWUDWLRQ IRRWQRWHDERYH SDQG
SX. v. )HGHUDO5HSXEOLFRI*HUPDQ\$SSOLFDWLRQ1R
                                                                                 Ambatielos (footnote 164 above), pp. 119–120.
'HFLVLRQ RI  0D\  (XURSHDQ &RPPLVVLRQ RI +XPDQ 5LJKWV
'RFXPHQWV DQG 'HFLVLRQV ±± S  X v. )HGHUDO
                                                                                     193
                                                                                        6HH WKH GLVFXVVLRQ RI HDUO\ FRGL¿FDWLRQV DWWHPSWV E\ 6SHFLDO
5HSXEOLF RI *HUPDQ\ $SSOLFDWLRQ 1R  'HFLVLRQ RI  6HS         5DSSRUWHXU *DUFtD$PDGRU LQ KLV ¿UVW UHSRUW RQ 6WDWH UHVSRQVLELOLW\
WHPEHU , European Commission and European Court of Human                    <HDUERRN« , vol. II, document A/CN.4/96, pp. 173–231, at
5LJKWV<HDUERRNRIWKH(XURSHDQ&RQYHQWLRQRQ+XPDQ5LJKWV±                SS±DQGDUWLFOH  RIWKH+DUYDUG'UDIW&RQYHQWLRQRQWKH
SDWSDQGX v.$XVWULD$SSOLFDWLRQ1R'HFL         International Responsibility of States for Injuries to Aliens prepared in
VLRQ RI  -DQXDU\ , European Commission and European Court               1960 by the Harvard School of Law, reproduced in Sohn and Baxter,
RI +XPDQ 5LJKWV <HDUERRN RI WKH (XURSHDQ &RQYHQWLRQ RQ +XPDQ          ORFFLW(footnote 65 above), p. 577.
5LJKWV, p. 196, at p. 202.                                                      194
                                                                                        ,QWHUQDWLRQDO &RYHQDQW RQ &LYLO DQG 3ROLWLFDO 5LJKWV DUW 
     190
         See )LQQLVK6KLSV$UELWUDWLRQ(footnote 167 above), pp. 1496–              F $PHULFDQ &RQYHQWLRQ RQ +XPDQ 5LJKWV ³3DFW RI 6DQ -RVp
9HOiVTXH]5RGUtJXH]v. +RQGXUDV IRRWQRWHDERYH <D÷FL               &RVWD 5LFD´ DUW    F  :HLQEHUJHU v. Uruguay, Communica-
DQG 6DUJLQ v. Turkey, -XGJPHQW RI  -XQH , ECHR, Series A:             WLRQ 1R  +XPDQ 5LJKWV &RPPLWWHH 6HOHFWHG 'HFLVLRQV,
5HSRUWVDQG'HFLVLRQVYROSDWSSDUDDQGHornsby v.        YROSDWS/DV3DOPHUDV3UHOLPLQDU\2EMHFWLRQV-XGJPHQW
*UHHFH, -XGJPHQWRI0DUFK, LELG, ECHR,5HSRUWVDQG'HFL                RI)HEUXDU\,QWHU$PHULFDQ&RXUWRI+XPDQ5LJKWV6HULHV&
VLRQV,,, No. 33, p. 495, at p. 509, para. 37.                              'HFLVLRQVDQG-XGJPHQWV, 1RSDUD(UGR÷DQ v. Turkey, Appli
                                                                                 FDWLRQ1R, No. 84 A, ECHR, 'HFLVLRQVDQG5HSRUWV, 1996,
     191
         See 0XVKLNLZDER DQG RWKHUV v. %DUD\DJZL]D 'HFLVLRQ RI 
                                                                                 p. 5, at p. 15.
$SULO,/5YRO  SDWS'XULQJWKHPLOLWDU\
dictatorship in Chile, the Inter-American Commission on Human
                                                                                     195
                                                                                         See (O 2UR 0LQLQJ DQG 5DLOZD\ &RPSDQ\ /LPLWHG *UHDW
5LJKWV UHVROYHG WKDW WKH LUUHJXODULWLHV LQKHUHQW LQ OHJDO SURFHHGLQJV   Britain v. 8QLWHG0H[LFDQ6WDWHV 'HFLVLRQ1RRI-XQH,
under military justice obviated the need to exhaust local remedies (see          815,$$YRO9SDWSDQG3ULQFHYRQ3OHVV$GPLQLVWUD
FDVH  &KLOH  UHVROXWLRQ D FDVH  Annual Report of           WLRQ2UGHURI)HEUXDU\, P.C.I.J., Series A/B, No. 52, p. 11, at
WKH,QWHU$PHULFDQ&RPPLVVLRQRQ+XPDQ5LJKWV±, OEA/                    p. 16.
                                                                                     196
Ser.L/V/II.74, document 10 rev. 1, pp. 136 et seq.).                                     See footnote 195 above.
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<pre>                             5HSRUWRIWKH,QWHUQDWLRQDO/DZ&RPPLVVLRQRQWKHZRUNRIWKH¿IW\VL[WKVHVVLRQ
UHPHGLHVPLJKWRIIHUWKHUHDVRQDEOHSRVVLELOLW\RIHIIHF-                  exception in the ,QWHUKDQGHO199 and Salem200 cases, in
WLYHUHGUHVVEXWLWZRXOGEHXQUHDVRQDEOHRUFDXVHJUHDW                  other cases201 tribunals have upheld the applicability of
hardship to the injured alien to exhaust local remedies.                   the local remedies rule despite the absence of a voluntary
For instance, even where effective local remedies exist,                   link between the injured alien and the respondent State.
it would be unreasonable and unfair to require an injured                  In both the Norwegian Loans case202 and the $HULDO,QFL
person to exhaust local remedies where his property has                    GHQWRI-XO\WK case203DUJXPHQWVLQIDYRXURIWKH
suffered environmental harm caused by pollution, radio-                    voluntary link requirement were forcefully advanced, but
DFWLYH IDOORXW RU D IDOOHQ VSDFH REMHFW HPDQDWLQJ IURP            in neither case did the ICJ make a decision on this mat-
D 6WDWH LQ ZKLFK KLV SURSHUW\ LV QRW VLWXDWHG RU ZKHUH         ter. In the Trail Smelter case,204LQYROYLQJWUDQVERXQGDU\
he is on board an aircraft that is shot down by a State                    pollution in which there was no voluntary link or territo-
ZKRVHDLUVSDFHKDVEHHQDFFLGHQWDOO\YLRODWHGRUZKHUH                   rial connection, there was no insistence by Canada on the
VHULRXVREVWDFOHVDUHSODFHGLQWKHZD\RIKLVXVLQJORFDO                exhaustion of local remedies. This case and others205 in
remedies by the respondent State or some other body. In                    which, where there was no voluntary link, local remedies
VXFKFDVHVLWKDVEHHQVXJJHVWHGWKDWORFDOUHPHGLHVQHHG                 ZHUH GLVSHQVHG ZLWK KDYH EHHQ LQWHUSUHWHG DV OHQGLQJ
not be exhausted because of the absence of a voluntary                     support to the requirements of voluntary submission to
link or territorial connection between the injured indi-                   jurisdiction as a precondition for the application of the
vidual and the respondent State or because of the exist-                   local remedies rule. The failure to insist on the application
ence of a special hardship exception.                                      of the local remedies rule in these cases can, however, be
                                                                           explained as an example of direct injury, in which local
(8) There is support in the literature for the proposition                 remedies do not need to be exhausted, or on the basis that
that in all cases in which the exhaustion of local remedies                WKHDUELWUDWLRQDJUHHPHQWLQTXHVWLRQGLGQRWUHTXLUHORFDO
has been required there has been some link between the                     remedies to be exhausted.
injured individual and the respondent State, such as vol-
untary physical presence, residence, ownership of prop-                    (10) While the Commission took the view that it is nec-
erty or a contractual relationship with the respondent                     essary to provide expressly for this exception to the local
State.197 Proponents of this view maintain that the nature                 remedies rule, it preferred not to use the term “voluntary
of diplomatic protection and the local remedies rule has                   OLQN´ WR GHVFULEH WKLV H[FHSWLRQ DV WKLV HPSKDVL]HV WKH
XQGHUJRQHPDMRUFKDQJHVLQUHFHQWWLPHV7KHHDUO\KLV-                    subjective intention of the injured individual rather than
WRU\RIGLSORPDWLFSURWHFWLRQZDVFKDUDFWHUL]HGE\VLWX-                   the absence of an objectively determinable connection
DWLRQV LQ ZKLFK D IRUHLJQ QDWLRQDO UHVLGHQW DQG GRLQJ             between the individual and the host State. Moreover, it
EXVLQHVVLQDIRUHLJQ6WDWHZDVLQMXUHGE\WKHDFWLRQRI                  ZRXOGEHGLI¿FXOWWRSURYHVXFKDVXEMHFWLYHFULWHULRQLQ
that State and could therefore be expected to exhaust                      practice, hence the decision of the Commission to require
local remedies in accordance with the philosophy that                      WKH H[LVWHQFH RI D ³UHOHYDQW FRQQHFWLRQ´ EHWZHHQ WKH
WKHQDWLRQDOJRLQJDEURDGVKRXOGQRUPDOO\EHREOLJHGWR                   injured alien and the host State. This connection must be
DFFHSWWKHORFDOODZDVKH¿QGVLWLQFOXGLQJWKHPHDQV                   ³UHOHYDQW´LQWKHVHQVHWKDWLWPXVWUHODWHLQVRPHZD\WR
DIIRUGHG IRU WKH UHGUHVV RI ZURQJ 7RGD\ KRZHYHU DQ             the injury suffered. A tribunal will be required to examine
LQGLYLGXDOPD\EHLQMXUHGE\WKHDFWRIDIRUHLJQ6WDWH                   not only the question whether the injured individual was
outside its territory or by some act within its territory                  present, resided or did business in the territory of the host
in circumstances in which the individual has no con-                       State but whether, in the circumstances, the individual, by
nection with the territory. Examples of this are afforded                  his conduct, had assumed the risk that if he suffered an
by transboundary environmental harm (for example,                          injury it would be subject to adjudication in the host State.
the explosion at the Chernobyl nuclear plant near Kiev                     7KHZRUG³UHOHYDQW´LWZDVGHFLGHGZRXOGEHVWDOORZD
in the Ukraine, which caused radioactive fallout as far                    WULEXQDOWRFRQVLGHUWKHHVVHQWLDOHOHPHQWVJRYHUQLQJWKH
DZD\DV-DSDQDQG6FDQGLQDYLD DQGWKHVKRRWLQJGRZQ                      relationship between the injured alien and the host State
of an aircraft that has accidentally strayed into a State’s                in the context of the injury in order to determine whether
airspace (as illustrated by the $HULDO,QFLGHQWRI-XO\
FDVHLQZKLFK%XOJDULDVKRWGRZQDQ(O$OÀLJKW
that had accidentally entered its airspace198). The basis                      199
                                                                                   Here the ICJ stated: “it has been considered necessary that the
for such a voluntary link or territorial connection rule is                6WDWH ZKHUH WKH YLRODWLRQ RFFXUUHG should have an opportunity to
WKHDVVXPSWLRQRIULVNE\WKHDOLHQLQDIRUHLJQ6WDWH,W                UHGUHVVLWE\LWVRZQPHDQV´ VHHIRRWQRWHDERYH , p. 27 (emphasis
                                                                           added).
is only where the alien has subjected himself voluntarily                      200
                                                                                   In the SalemFDVHDQDUELWUDOWULEXQDOGHFODUHGWKDW³>D@VDUXOHD
to the jurisdiction of the respondent State that he can be                 IRUHLJQHUPXVWDFNQRZOHGJHDVDSSOLFDEOHWRKLPVHOIWKHNLQGRIMXVWLFH
expected to exhaust local remedies.                                        LQVWLWXWHG LQ WKH FRXQWU\ LQ ZKLFK KH GLG FKRRVH KLV UHVLGHQFH´ VHH
                                                                           footnote 66 above), p. 1202.
(9) Neither judicial authority nor State practice pro-                         201
                                                                                   )LQQLVK6KLSV$UELWUDWLRQ IRRWQRWHDERYH DQGAmbatielos
YLGHVFOHDUJXLGDQFHRQWKHH[LVWHQFHRIVXFKDQH[FHS-                    (see footnote 164 above).
tion to the exhaustion of local remedies rule. While there
                                                                               202
                                                                                   Case of Certain Norwegian Loans ()UDQFH v. Norway), -XGJ
                                                                           PHQW RI -XO\ th  2UDO 3OHDGLQJV RI )UDQFH ,&- 3OHDGLQJV,
are tentative dicta in support of the existence of such an                 vol. I, p. 408.
                                                                               203
                                                                                   &DVH FRQFHUQLQJ WKH $HULDO ,QFLGHQW RI -XO\ th  (Israel
                                                                           v. Bulgaria), 3UHOLPLQDU\2EMHFWLRQV2UDO3OHDGLQJVRI,VUDHO, I.C.J.
    197
       6HH & ) $PHUDVLQJKH /RFDO 5HPHGLHV LQ ,QWHUQDWLRQDO /DZ 3OHDGLQJV, pp. 531–532.
 IRRWQRWHDERYH SDQG70HURQ³7KHLQFLGHQFHRIWKHUXOH        204
                                                                                    The Trail Smelter case 8QLWHG 6WDWHV v. &DQDGD , UNRIAA,
RIH[KDXVWLRQRIORFDOUHPHGLHV´%<,/YRO   p. 83 et seq.,     vol. III, p. 1905.
at p. 94.                                                                      205
                                                                                   The Virginius case (1873), reported in J. B. Moore, A Digest of
    198
         &DVHFRQFHUQLQJWKH$HULDO,QFLGHQWRI-XO\ (Israel v.    International Law IRRWQRWHDERYH YRO,,SDWSDQG
Bulgaria), -XGJPHQW, ,&-5HSRUWV, p. 127.                          the Jessie case (1921), reported in AJIL, vol. 16 (1922), pp. 114–116.
</pre>

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<pre>                                                                      Diplomatic protection                                                               
there had been an assumption of risk on the part of the                               Consent of the parties to arbitration under its Convention shall,
injured alien.                                                                    unless otherwise stated, be deemed consent to such arbitration to the
                                                                                  H[FOXVLRQ RI DQ\ RWKHU UHPHG\$ &RQWUDFWLQJ 6WDWH PD\ UHTXLUH WKH
                                                                                  exhaustion of local administrative or judicial remedies as a condition of
   7KHVHFRQGSDUWRISDUDJUDSKFLVGHVLJQHGWRJLYH                         its consent to arbitration under this Convention.
a tribunal the power to dispense with the need for the
exhaustion of local remedies where, in all the circum-                            ,WLVJHQHUDOO\DJUHHGWKDWH[SUHVVZDLYHUVZKHWKHUFRQ-
stances of the case, it would be unreasonable to expect                           WDLQHG LQ DQ DJUHHPHQW EHWZHHQ 6WDWHV RU LQ D FRQWUDFW
compliance with this rule. Each case will obviously have                          between State and alien, are irrevocable, even if the con-
WREHFRQVLGHUHGRQLWVRZQPHULWVLQPDNLQJVXFKDGHWHU-                        WUDFWLVJRYHUQHGE\WKHODZRIWKHKRVW6WDWH207
mination and it would be unwise to attempt to provide
D FRPSUHKHQVLYH OLVW RI IDFWRUV WKDW PLJKW TXDOLI\ IRU                   (15) Waiver of local remedies must not be readily
WKLV H[FHSWLRQ ,W LV KRZHYHU VXJJHVWHG WKDW WKH H[FHS-                 implied. In the (/6, case a Chamber of the ICJ stated in
WLRQPLJKWEHH[HUFLVHGZKHUHD6WDWHSUHYHQWVDQLQMXUHG                        this connection that it was:
DOLHQ IURP JDLQLQJ IDFWXDO DFFHVV WR LWV WULEXQDOV E\ IRU
LQVWDQFHGHQ\LQJKLPHQWU\WRLWVWHUULWRU\RUE\H[SRVLQJ                      unable to accept that an important principle of customary international
KLPWRGDQJHUVWKDWPDNHLWXQVDIHIRUKLPWRVHHNHQWU\                         law should be held to have been tacitly dispensed with, in the absence
WRLWVWHUULWRU\RUZKHUHFULPLQDOFRQVSLUDFLHVLQWKHKRVW                     RIDQ\ZRUGVPDNLQJFOHDUDQLQWHQWLRQWRGRVR208
6WDWH REVWUXFW WKH EULQJLQJ RI SURFHHGLQJV EHIRUH ORFDO
FRXUWVRUZKHUHWKHFRVWRIH[KDXVWLQJORFDOUHPHGLHVLV                        (16) Where, however, the intention of the parties to
prohibitive.                                                                      ZDLYHWKHORFDOUHPHGLHVLVFOHDUHIIHFWPXVWEHJLYHQ
                                                                                  to this intention. Both judicial decisions209 and the writ-
Paragraph d                                                                       LQJVRIMXULVWVVXSSRUWVXFKDFRQFOXVLRQ1RJHQHUDOUXOH
                                                                                  can be laid down as to when an intention to waive local
(12) A State may be prepared to waive the requirement                             remedies may be implied. Each case must be determined
that local remedies be exhausted. As the purpose of the                           LQ WKH OLJKW RI WKH ODQJXDJH RI WKH LQVWUXPHQW DQG WKH
rule is to protect the interests of the State accused of mis-                     circumstances of its adoption. Where the respondent
WUHDWLQJ DQ DOLHQ LW IROORZV WKDW D 6WDWH PD\ ZDLYH WKLV              6WDWH KDV DJUHHG WR VXEPLW GLVSXWHV WR DUELWUDWLRQ WKDW
protection itself. The Inter-American Court of Human                              may arise in the future with the applicant State, there
5LJKWVKDVVWDWHG                                                                LV VXSSRUW IRU WKH YLHZ WKDW VXFK DQ DJUHHPHQW ³GRHV
                                                                                  not involve the abandonment of the claim to exhaust all
     ,QFDVHVRIWKLVW\SHXQGHUWKHJHQHUDOO\UHFRJQL]HGSULQFLSOHVRI         local remedies in cases in which one of the Contract-
international law and international practice, the rule which requires the         LQJ 3DUWLHV HVSRXVHV WKH FODLP RI LWV QDWLRQDO´210 That
SULRUH[KDXVWLRQRIGRPHVWLFUHPHGLHVLVGHVLJQHGIRUWKHEHQH¿WRIWKH          WKHUH LV D VWURQJ SUHVXPSWLRQ DJDLQVW LPSOLHG RU WDFLW
6WDWHIRUWKDWUXOHVHHNVWRH[FXVHWKH6WDWHIURPKDYLQJWRUHVSRQGWR         ZDLYHULQVXFKDFDVHZDVFRQ¿UPHGE\WKH&KDPEHURI
FKDUJHVEHIRUHDQLQWHUQDWLRQDOERG\IRUDFWVZKLFKKDYHEHHQLPSXWHG
to it before it has had the opportunity to remedy them by internal means.         the ICJ in the (/6, case.211 A waiver of local remedies
The requirement is thus considered a means of defence and, as such,               PD\ EH PRUH HDVLO\ LPSOLHG IURP DQ DUELWUDWLRQ DJUHH-
waivable, even tacitly.206                                                        ment entered into after the dispute in question has arisen.
                                                                                  In such a case it may be contended that such a waiver
(13) Waiver of local remedies may take many different                             may be implied if the respondent State entered into an
forms. It may appear in a bilateral or multilateral treaty                        DUELWUDWLRQDJUHHPHQWZLWKWKHDSSOLFDQW6WDWHFRYHULQJ
HQWHUHG LQWR EHIRUH RU DIWHU WKH GLVSXWH DULVHV LW PD\                 GLVSXWHV UHODWLQJ WR WKH WUHDWPHQW RI QDWLRQDOV DIWHU WKH
appear in a contract between the alien and the respondent                         injury to the national who is the subject of the dispute
6WDWHLWPD\EHH[SUHVVRULPSOLHGRULWPD\EHLQIHUUHG                       DQGWKHDJUHHPHQWLVVLOHQWRQWKHUHWHQWLRQRIWKHORFDO
from the conduct of the respondent State in circumstances                         remedies rule.
in which it can be described as estoppel or forfeiture.
                                                                                     $OWKRXJK WKHUH LV VXSSRUW IRU WKH SURSRVLWLRQWKDW
(14) An express waiver may be included in an DGKRF                              WKH FRQGXFW RI WKH UHVSRQGHQW 6WDWH GXULQJ LQWHUQDWLRQDO
DUELWUDWLRQ DJUHHPHQW FRQFOXGHG WR UHVROYH DQ DOUHDG\                      SURFHHGLQJVPD\UHVXOWLQWKDW6WDWHEHLQJHVWRSSHGIURP
H[LVWLQJGLVSXWHRULQDJHQHUDOWUHDW\SURYLGLQJWKDWGLV-
SXWHVDULVLQJLQWKHIXWXUHDUHWREHVHWWOHGE\DUELWUDWLRQ
or some other form of international dispute settlement. It
may also be included in a contract between a State and                                207
                                                                                           See 9LYLDQD *DOODUGR et al. (footnote 206 above) and
DQ DOLHQ 7KHUH LV D JHQHUDO DJUHHPHQW WKDW DQ H[SUHVV                  'H:LOGH2RPVDQG9HUV\SFDVHV ³%HOJLDQ9DJUDQF\&DVHV´  LELG).
waiver of the local remedies is valid. Waivers are a com-                             208
                                                                                           (OHWWURQLFD6LFXOD6S$ (/6, (see footnote 140 above), p. 42,
mon feature of contemporary State practice and many                               para. 50.
DUELWUDWLRQ DJUHHPHQWV FRQWDLQ ZDLYHU FODXVHV 3UREDEO\                         209
                                                                                           See, for example, 6WHLQHUDQG*URVVv. Polish State, Case No. 322
the best-known example is to be found in article 26 of                               $QQXDO 'LJHVW RI 3XEOLF ,QWHUQDWLRQDO /DZ &DVHV  DQG
                                                                                  $0F1DLUDQG+/DXWHUSDFKW HGV /RQGRQ/RQJPDQ
the Convention on the settlement of investment disputes                           SDQG$PHULFDQ,QWHUQDWLRQDO*URXS,QFv. 7KH,VODPLF5HSXEOLF
between States and Nationals of other States, which                               RI,UDQ$ZDUG1R   ,UDQ8QLWHG6WDWHV&ODLPV7ULEXQDO
provides:                                                                         Reports&DPEULGJH*URWLXVYROS
                                                                                      210
                                                                                          )$0DQQ³6WDWHFRQWUDFWVDQGLQWHUQDWLRQDODUELWUDWLRQ´%<,/
     206
         *RYHUQPHQW RI &RVWD 5LFD ,Q WKH 0DWWHU RI 9LYLDQD *DOODUGR      vol. 42 (1967), p. 32.
et al. $ZDUGRI1RYHPEHU, Inter-American Court of Human                     211
                                                                                           See footnote 140 above. In the 3DQHYH]\V6DOGXWLVNLV 5DLOZD\
5LJKWV ,/5 YRO    S  DW S  6HH DOVR (OHWWURQLFD  case (see footnote 32 above), the PCIJ held that acceptance of the
6LFXOD 6S$ (/6, IRRWQRWH  DERYH  S  SDUD  DQG WKH       Optional Clause under article 36 (2) of the Statute of the Court did not
'H:LOGH2RPVDQG9HUV\SFDVHV ³%HOJLDQ9DJUDQF\&DVHV´ (&+5                FRQVWLWXWHLPSOLHGZDLYHURIWKHORFDOUHPHGLHVUXOH DVKDGEHHQDUJXHG
-XGJPHQWRI-XQH, ILR, vol. 56, p. 337, at p. 370, para. 55.              by -XGJHYDQ(\VLQJDLQDGLVVHQWLQJRSLQLRQLELG, pp. 35–36).
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<pre>                              5HSRUWRIWKH,QWHUQDWLRQDO/DZ&RPPLVVLRQRQWKHZRUNRIWKH¿IW\VL[WKVHVVLRQ
UHTXLULQJ WKDW ORFDO UHPHGLHV EH H[KDXVWHG212 the Com-                 The decision of the ICJ in the 1966 6RXWK :HVW $IULFD
mission preferred not to refer to estoppel in its formulation                FDVHV214KROGLQJWKDWD6WDWHPLJKWQRWEULQJOHJDOSURFHHG-
RIWKHUXOHJRYHUQLQJZDLYHURQDFFRXQWRIWKHXQFHUWDLQW\                  LQJVWRSURWHFWWKHULJKWVRIQRQQDWLRQDOVLVWRGD\VHHQDV
VXUURXQGLQJWKHGRFWULQHRIHVWRSSHOLQLQWHUQDWLRQDOODZ                  bad law and was expressly repudiated by the Commission
The Commission took the view that it was wiser to allow                      in its articles on State responsibility.215 Moreover, article
FRQGXFWIURPZKLFKDZDLYHURIORFDOUHPHGLHVPLJKWEH                      48 of those articles permits a State other than the injured
inferred to be treated as implied waiver.                                    State to invoke the responsibility of another State if the
                                                                             REOLJDWLRQEUHDFKHGLVRZHGWRWKHLQWHUQDWLRQDOFRPPX-
                                 PART FOUR                                   nity as a whole.216
                MISCELLANEOUS PROVISIONS                                        7KHLQGLYLGXDOLVDOVRHQGRZHGZLWKULJKWVDQGUHP-
                                                                             HGLHV WR SURWHFW LWVHOI DJDLQVW WKH LQMXULQJ 6WDWH ZKHWKHU
         $UWLFOH $FWLRQVRUSURFHGXUHVRWKHUWKDQ                       the individual’s State of nationality or another State, in
                         GLSORPDWLFSURWHFWLRQ                               WHUPV RI LQWHUQDWLRQDO KXPDQ ULJKWV FRQYHQWLRQV7KLV LV
                                                                             PRVWIUHTXHQWO\DFKLHYHGE\WKHULJKWWRSHWLWLRQDQLQWHU-
    7KHSUHVHQWGUDIWDUWLFOHVDUHZLWKRXWSUHMXGLFHWR                     QDWLRQDOKXPDQULJKWVPRQLWRULQJERG\217,QGLYLGXDOULJKWV
WKHULJKWVRI6WDWHVQDWXUDOSHUVRQVRURWKHUHQWLWLHVWR                  under international law may also arise outside the frame-
UHVRUWXQGHULQWHUQDWLRQDOODZWRDFWLRQVRUSURFHGXUHV                     ZRUNRIKXPDQULJKWV,QWKH/D*UDQG case the ICJ held
RWKHUWKDQGLSORPDWLFSURWHFWLRQWRVHFXUHUHGUHVVIRU                      that article 36 of the Vienna Convention on Consular Rela-
LQMXU\VXIIHUHGDVDUHVXOWRIDQLQWHUQDWLRQDOO\ZURQJ                     WLRQV ³FUHDWHV LQGLYLGXDO ULJKWV ZKLFK E\ YLUWXH RI$UWL
IXODFW                                                                     cle 1 of the Optional Protocol, may be invoked in this
                                                                             &RXUWE\WKHQDWLRQDO6WDWHRIWKHGHWDLQHGSHUVRQ´218 and
                               Commentary                                    in the $YHQD case the Court further observed:
                                                                             WKDWYLRODWLRQVRIWKHULJKWVRIWKHLQGLYLGXDOXQGHU$UWLFOHPD\HQWDLO
(1) The customary international law rules on diplomatic                      DYLRODWLRQRIWKHULJKWVRIWKHVHQGLQJ6WDWHDQGWKDWYLRODWLRQVRIWKH
protection that have evolved over several centuries, and the                 ULJKWVRIWKHODWWHUPD\HQWDLODYLRODWLRQRIWKHULJKWVRIWKHLQGLYLGXDO219
PRUHUHFHQWSULQFLSOHVJRYHUQLQJWKHSURWHFWLRQRIKXPDQ                    $ VDYLQJ FODXVH ZDV LQVHUWHG LQ WKH DUWLFOHV RQ 6WDWH UH-
ULJKWVFRPSOHPHQWHDFKRWKHUDQGXOWLPDWHO\VHUYHDFRP-                  sponsibility—article 33—to take account of this develop-
PRQ JRDO WKH SURWHFWLRQ RI KXPDQ ULJKWV213 The present               ment in international law.220
articles are therefore not intended to exclude or to trump
WKHULJKWVRI6WDWHVLQFOXGLQJERWKWKH6WDWHRIQDWLRQDOLW\               (4) The actions or procedures referred to in article 17
and States other than the State of nationality of an injured                 LQFOXGHWKRVHDYDLODEOHXQGHUERWKXQLYHUVDODQGUHJLRQDO
individual, to protect the individual under either customary                 KXPDQULJKWVWUHDWLHVDVZHOODVDQ\RWKHUUHOHYDQWWUHDW\
LQWHUQDWLRQDOODZRUDPXOWLODWHUDORUELODWHUDOKXPDQULJKWV               for example, in a number of treaties on the protection
treaty or other treaty. They are also not intended to inter-                 of investment. Article 17 does not, however, deal with
IHUHZLWKWKHULJKWVRIQDWXUDOSHUVRQVRURWKHUHQWLWLHVVXFK             domestic remedies.
DVQRQJRYHUQPHQWDORUJDQL]DWLRQVWRUHVRUWXQGHULQWHU-
national law to actions or procedures other than diplomatic                  (5) This draft article is primarily concerned with the
protection to secure redress for injury suffered as a result                 SURWHFWLRQ RI KXPDQ ULJKWV E\ PHDQV RWKHU WKDQ GLSOR-
RIDQLQWHUQDWLRQDOO\ZURQJIXODFW                                          PDWLFSURWHFWLRQ,WGRHVKRZHYHUDOVRHPEUDFHWKHULJKWV
                                                                             of States, natural persons and other entities conferred by
   $6WDWHPD\SURWHFWDQRQQDWLRQDODJDLQVWWKH6WDWH                   treaties and customary rules on other subjects, such as the
of nationality of an injured individual or a third State                     SURWHFWLRQ RI IRUHLJQ LQYHVWPHQW 7KH GUDIW DUWLFOHV DUH
LQ LQWHU6WDWH SURFHHGLQJV XQGHU WKH ,QWHUQDWLRQDO &RY-                OLNHZLVHZLWKRXWSUHMXGLFHWRVXFKULJKWVWKDWH[LVWXQGHU
HQDQW RQ &LYLO DQG 3ROLWLFDO 5LJKWV DUW   WKH ,QWHU-            procedures other than diplomatic protection.
national Convention on the Elimination of All Forms of                       (6) Article 17 makes it clear that the present draft arti-
5DFLDO 'LVFULPLQDWLRQ DUW   WKH &RQYHQWLRQ DJDLQVW                FOHVDUHZLWKRXWSUHMXGLFHWRWKHULJKWVWKDW6WDWHVLQGLYLG-
7RUWXUHDQG2WKHU&UXHO,QKXPDQDQG'HJUDGLQJ7UHDW-                        uals or other entities may have to secure redress for injury
ment or Punishment (art. 21), the European Convention
RQ+XPDQ5LJKWV DUW WKH$PHULFDQ&RQYHQWLRQRQ                            214
                                                                                      6RXWK :HVW $IULFD FDVHV 6HFRQG 3KDVH -XGJPHQW RI  -XO\
+XPDQ5LJKWV³3DFWRI6DQ-RVp&RVWD5LFD´ DUW                       ,&-5HSRUWV, p. 6.
DQG WKH$IULFDQ &KDUWHU RQ +XPDQ DQG 3HRSOHV¶ 5LJKWV                      215
                                                                                      <HDUERRN «  YRO ,, 3DUW7ZR  DQG FRUULJHQGXP S 
(arts. 47–54). The same conventions allow a State to pro-                    (commentary to article 48, footnote 725).
WHFW LWV RZQ QDWLRQDOV LQ LQWHU6WDWH SURFHHGLQJV 0RUH-                   216
                                                                                      ,ELG, para. 76.
over, customary international law allows States to protect                        217
                                                                                      See, for example, the Optional Protocol to the International Cov-
WKHULJKWVRIQRQQDWLRQDOVE\SURWHVWQHJRWLDWLRQDQGLI                 HQDQWRQ&LYLODQG3ROLWLFDO5LJKWVDUWLFOHRIWKH,QWHUQDWLRQDO&RQ-
                                                                             vention on the Elimination of All Forms of Racial Discrimination and
DMXULVGLFWLRQDOLQVWUXPHQWVRSHUPLWVOHJDOSURFHHGLQJV                  DUWLFOHRIWKH&RQYHQWLRQDJDLQVW7RUWXUHDQG2WKHU&UXHO,QKXPDQ
                                                                             RU'HJUDGLQJ7UHDWPHQWRU3XQLVKPHQW
    212
         See (OHWWURQLFD6LFXOD6S$ (/6, (footnote 140 above), p. 44,
                                                                                  218
                                                                                      /D *UDQG (Germany v. 8QLWHG 6WDWHV RI $PHULFD), -XGJPHQW,
SDUD8QLWHG6WDWHV±8QLWHG.LQJGRP$UELWUDWLRQFRQFHUQLQJ+HD           ,&-5HSRUWV, p. 466, at p. 494, para. 77.
WKURZ$LUSRUW8VHU&KDUJHV$ZDUGRI1RYHPEHU, UNRIAA,                    219
                                                                                      &DVH&RQFHUQLQJ$YHQDDQG2WKHU0H[LFDQ1DWLRQDOV(see foot-
YRO;;,9SSDUD VHHDOVR,/5YROSDWS    note 169 above), p. 36, para. 40.
SDUD   DQG )RWL DQG RWKHUV 0HULWV -XGJPHQW RI  'HFHPEHU      220
                                                                                     3DUDJUDSKRIWKLVDUWLFOHUHDGV³7KLV3DUWLVZLWKRXWSUHMXGLFH
, ILR, vol. 71, p. 366, at p. 380, para. 46.                             WR DQ\ ULJKW DULVLQJ IURP WKH LQWHUQDWLRQDO UHVSRQVLELOLW\ RI D 6WDWH
    213
        6HHWKH¿UVWUHSRUWRQGLSORPDWLFSURWHFWLRQ IRRWQRWHDERYH   ZKLFKPD\DFFUXHGLUHFWO\WRDQ\SHUVRQRUHQWLW\RWKHUWKDQD6WDWH´
particularly paras. 22–32.                                                   (Yearbook «YRO,, 3DUW7ZR DQGFRUULJHQGXP, para. 76).
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<pre>                                                                     Diplomatic protection                                                             
VXIIHUHGDVDUHVXOWRIDQLQWHUQDWLRQDOO\ZURQJIXODFWE\                      (3) Article 18 makes it clear that the present draft arti-
procedures other than diplomatic protection. Where, how-                         FOHVGRQRWDSSO\WRWKHDOWHUQDWLYHVSHFLDOUHJLPHIRUWKH
ever, a State resorts to such procedures it does not aban-                       SURWHFWLRQ RI IRUHLJQ LQYHVWRUV SURYLGHG IRU LQ ELODWHUDO
GRQLWVULJKWWRH[HUFLVHGLSORPDWLFSURWHFWLRQLQUHVSHFW                      and multilateral investment treaties. However, it acknowl-
of an individual if that individual should be a national.221                     HGJHVWKDWVRPHWUHDWLHVGRQRWH[FOXGHUHFRXUVHWRGLSOR-
                                                                                 PDWLFSURWHFWLRQDOWRJHWKHU+HQFHWKHSURYLVLRQLVIRUPX-
(7) One member of the Commission considered the
                                                                                 lated so that the draft articles do not apply “ZKHUHDQGWR
UHPHGLHV VRXJKW SXUVXDQW WR KXPDQ ULJKWV WUHDWLHV WR EH
                                                                                 WKHH[WHQWWKDW´WKH\DUHLQFRQVLVWHQWZLWKWKHSURYLVLRQV
OH[VSHFLDOLV with priority over remedies pursuant to dip-
                                                                                 of a BIT. To the extent that the draft articles remain con-
lomatic protection. Some members of the Commission
                                                                                 sistent with the BIT in question, they continue to apply.
also expressed the view that articles 17 and 18 should be
PHUJHG
                                                                                                       $UWLFOH 6KLSV¶FUHZV
              $UWLFOH 6SHFLDOWUHDW\SURYLVLRQV
                                                                                     7KHULJKWRIWKH6WDWHRIQDWLRQDOLW\RIWKHPHPEHUV
    7KHSUHVHQWGUDIWDUWLFOHVGRQRWDSSO\ZKHUHDQG                          RIWKHFUHZRIDVKLSWRH[HUFLVHGLSORPDWLFSURWHFWLRQ
WR WKH H[WHQW WKDW WKH\ DUH LQFRQVLVWHQW ZLWK VSHFLDO                  RQWKHLUEHKDOILVQRWDIIHFWHGE\WKHULJKWRIWKH6WDWH
WUHDW\SURYLVLRQVLQFOXGLQJWKRVHFRQFHUQLQJWKHVHW                           RIQDWLRQDOLW\RIDVKLSWRVHHNUHGUHVVRQEHKDOIRIVXFK
WOHPHQW RI GLVSXWHV EHWZHHQ FRUSRUDWLRQV RU VKDUH                         FUHZPHPEHUVLUUHVSHFWLYHRIWKHLUQDWLRQDOLW\ZKHQ
KROGHUVRIDFRUSRUDWLRQDQG6WDWHV                                             WKH\KDYHEHHQLQMXUHGLQWKHFRXUVHRIDQLQMXU\WRWKH
                                                                                 YHVVHOUHVXOWLQJIURPDQLQWHUQDWLRQDOO\ZURQJIXODFW
                              Commentary
                                                                                                               Commentary
   )RUHLJQLQYHVWPHQWLVODUJHO\UHJXODWHGDQGSURWHFWHG
by bilateral investment treaties (BITs).222 The number of                           7KHSXUSRVHRIGUDIWDUWLFOHLVWRDI¿UPWKHULJKW
%,7VKDVJURZQFRQVLGHUDEO\LQUHFHQW\HDUVDQGLWLVFXU-                       of the State or States of nationality of a ship’s crew to
UHQWO\ HVWLPDWHG WKDW WKHUH DUH QHDUO\  VXFK DJUHH-                 exercise diplomatic protection on their behalf, while at
ments in existence. An important feature of the BIT is its                       WKHVDPHWLPHDFNQRZOHGJLQJWKDWWKH6WDWHRIQDWLRQDO-
procedure for the settlement of investment disputes. Some                        LW\ RI WKH VKLS DOVR KDV D ULJKW WR VHHN UHGUHVV RQ WKHLU
BITs provide for the direct settlement of the investment                         behalf, irrespective of their nationality, when they have
dispute between the investor and the host State, before                          been injured in the course of an injury to a vessel result-
either an DGKRF tribunal or a tribunal established by the                       LQJ IURP DQ LQWHUQDWLRQDOO\ ZURQJIXO DFW ,W KDV EHFRPH
International Centre for Settlement of Investment Dis-                           QHFHVVDU\ WR DI¿UP WKH ULJKW RI WKH 6WDWH RI QDWLRQDOLW\
putes (ICSID) under the Convention on the settlement                             to exercise diplomatic protection on behalf of the mem-
of investment disputes between States and Nationals of                           EHUVRIDVKLS¶VFUHZLQRUGHUWRSUHFOXGHDQ\VXJJHVWLRQ
other States (ICSID Convention). Other BITs provide for                          WKDW WKLV ULJKW KDV EHHQ UHSODFHG E\ WKDW RI WKH 6WDWH RI
the settlement of investment disputes by means of arbi-                          nationality of the ship. At the same time it is necessary to
tration between the State of nationality of the investor                         UHFRJQL]HWKHULJKWRIWKH6WDWHRIQDWLRQDOLW\RIWKHVKLSWR
(corporation or shareholder) and the host State over the                         seek redress in respect of the members of the ship’s crew.
interpretation or application of the relevant provision of                       $OWKRXJKWKLVFDQQRWEHFKDUDFWHUL]HGDVGLSORPDWLFSUR-
the BIT. The dispute settlement procedures provided for                          tection in the absence of the bond of nationality between
LQ %,7V DQG WKH ,&6,' &RQYHQWLRQ RIIHU JUHDWHU DGYDQ-                    WKHÀDJ6WDWHRIDVKLSDQGWKHPHPEHUVRIDVKLS¶VFUHZ
WDJHVWRWKHIRUHLJQLQYHVWRUWKDQWKHFXVWRPDU\LQWHUQD-                        there is nevertheless a close resemblance between this
WLRQDOODZV\VWHPRIGLSORPDWLFSURWHFWLRQDVWKH\JLYH                        type of protection and diplomatic protection.
the investor direct access to international arbitration and
they avoid the political uncertainty inherent in the discre-                     (2) There is support in the practice of States, in judicial
tionary nature of diplomatic protection.                                         GHFLVLRQVDQGLQWKHZULWLQJVRISXEOLFLVWV224 for the posi-
                                                                                 WLRQWKDWWKH6WDWHRIQDWLRQDOLW\RIDVKLS WKHÀDJ6WDWH 
(2) Where the dispute resolution procedures provided                             may seek redress for members of the crew of the ship who
for in BITs or the ICSID Convention are invoked, diplo-                          do not have its nationality. There are also policy consid-
matic protection is in most cases excluded.223                                   erations in favour of such an approach.
                                                                                 (3) State practice emanates mainly from the United
    221
        In Selmouni v. )UDQFH$SSOLFDWLRQ1R-XGJPHQWRI            6WDWHV 8QGHU$PHULFDQ ODZ IRUHLJQ VHDPHQ KDYH WUDGL-
 -XO\ , ECHR, 5HSRUWV RI -XGJPHQWV DQG 'HFLVLRQV 9,
p. 149, the Netherlands intervened in support of a national’s individual         tionally been entitled to the protection of the United States
FRPSODLQWDJDLQVW)UDQFHEHIRUHWKH(XURSHDQ&RXUWRI+XPDQ5LJKWV             ZKLOHVHUYLQJRQ$PHULFDQYHVVHOV7KH$PHULFDQYLHZ
7KLVGLGQRWSUHFOXGHWKH1HWKHUODQGVIURPPDNLQJDFODLPLQWKHH[HU-           was that once a seaman enlisted on a ship, the only rel-
cise of diplomatic protection on behalf of the injured individual, had it        HYDQWQDWLRQDOLW\ZDVWKDWRIWKHÀDJ6WDWH225 This unique
chosen to do so.
                                                                                 VWDWXVRIIRUHLJQHUVVHUYLQJRQ$PHULFDQYHVVHOVZDVWUD-
    222
       7KLVZDVDFNQRZOHGJHGE\WKH,&-LQ%DUFHORQD7UDFWLRQ6HF
RQG3KDVH'HFLVLRQ (see footnote 40 above), p. 47, para. 90.
                                                                                     224
    223
        Article 27 (1) of the ICSID Convention provides: “No Contract-                   See H. Meyers, The Nationality of Ships7KH+DJXH0DUWLQXV
LQJ 6WDWH VKDOO JLYH GLSORPDWLF SURWHFWLRQ RU EULQJ DQ LQWHUQDWLRQDO  1LMKRIISS±5'RO]HU³'LSORPDWLFSURWHFWLRQRIIRUHLJQ
claim, in respect of a dispute which one of its nationals and another            QDWLRQDOV´LQ5%HUQKDUGW HG (QF\FORSHGLDRI3XEOLF,QWHUQDWLRQDO
&RQWUDFWLQJ6WDWHVKDOOKDYHFRQVHQWHGWRVXEPLWRUVKDOOKDYHVXEPLW-           LawYRO$PVWHUGDP(OVHYLHUSDQG,%URZQOLHPrin
WHGWRDUELWUDWLRQXQGHUWKLV&RQYHQWLRQXQOHVVVXFKRWKHU&RQWUDFWLQJ         FLSOHV RI 3XEOLF ,QWHUQDWLRQDO /DZ, 6th ed., Oxford University Press,
State shall have failed to abide by and comply with the award rendered           2003, p. 460.
LQVXFKGLVSXWH´                                                                    225
                                                                                         See the Ross case, 8QLWHG6WDWHV5HSRUWV, vol. 140 (1911), p. 453.
</pre>

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<pre>                             5HSRUWRIWKH,QWHUQDWLRQDO/DZ&RPPLVVLRQRQWKHZRUNRIWKH¿IW\VL[WKVHVVLRQ
GLWLRQDOO\ UHDI¿UPHG LQ GLSORPDWLF FRPPXQLFDWLRQV DQG                     6W9LQFHQWIRUGDPDJHVWRWKHSaiga and for injury to the
FRQVXODUUHJXODWLRQVRIWKH8QLWHG6WDWHV226 Doubts have,                      crew.
however, been raised as to whether this practice provides
evidence of a customary rule by the United States itself                            $OWKRXJKWKH7ULEXQDOWUHDWHGWKHGLVSXWHPDLQO\DV
in a communication to the Commission dated 20 May                               one of direct injury to St. Vincent,232 the Tribunal’s reason-
2003.227                                                                        LQJVXJJHVWVWKDWLWDOVRVDZWKHPDWWHUDVDFDVHLQYROYLQJ
                                                                                VRPHWKLQJDNLQWRGLSORPDWLFSURWHFWLRQ*XLQHDFOHDUO\
(4) International arbitral awards are inconclusive on the                       objected to the admissibility of the claim in respect of the
ULJKWRID6WDWHWRH[WHQGSURWHFWLRQWRQRQQDWLRQDOVHD-                      FUHZRQWKHJURXQGWKDWLWFRQVWLWXWHGDFODLPIRUGLSOR-
PHQEXWWHQGWROHDQLQIDYRXURIVXFKULJKWUDWKHUWKDQ                      matic protection in respect of non-nationals of St. Vin-
DJDLQVWLW,QWKH0F&UHDG\case, the umpire, Sir Edward                        cent.233 St. Vincent, equally clearly, insisted that it had
Thornton, held that:                                                            WKHULJKWWRSURWHFWWKHFUHZRIDVKLSÀ\LQJLWVÀDJ³LUUH-
                                                                                VSHFWLYH RI WKHLU QDWLRQDOLW\´234 ,Q GLVPLVVLQJ *XLQHD¶V
VHDPHQVHUYLQJLQWKHQDYDORUPHUFDQWLOHPDULQHXQGHUDÀDJQRWWKHLU
own are entitled, for the duration of that service, to the protection of the
                                                                                objection the Tribunal stated that the United Nations Con-
ÀDJXQGHUZKLFKWKH\VHUYH228                                                  vention on the Law of the Sea in a number of relevant
                                                                                SURYLVLRQV LQFOXGLQJ DUWLFOH  GUHZ QR GLVWLQFWLRQ
In the I’m Alone case,229ZKLFKDURVHIURPWKHVLQNLQJRI                      EHWZHHQQDWLRQDOVDQGQRQQDWLRQDOVRIWKHÀDJ6WDWH235
D &DQDGLDQ YHVVHO E\ D 8QLWHG 6WDWHV FRDVW JXDUG VKLS                It stressed that:
the Canadian Government successfully claimed compen-
sation on behalf of three non-national crew members,                            WKHVKLSHYHU\WKLQJRQLWDQGHYHU\SHUVRQLQYROYHGRULQWHUHVWHGLQLWV
DVVHUWLQJ WKDW ZKHUH D FODLP ZDV RQ EHKDOI RI D YHVVHO              RSHUDWLRQVDUHWUHDWHGDVDQHQWLW\OLQNHGWRWKHÀDJ6WDWH7KHQDWLRQDOL-
                                                                                ties of these persons are not relevant.236
members of the crew were to be deemed, for the purposes
of the claim, to be of the same nationality as the vessel. In                       7KHUHDUHFRJHQWSROLF\UHDVRQVIRUDOORZLQJWKHÀDJ
the Reparation for injuriesDGYLVRU\RSLQLRQWZRMXGJHV                       6WDWHWRVHHNUHGUHVVIRUWKHVKLS¶VFUHZ7KLVZDVUHFRJ-
LQWKHLUVHSDUDWHRSLQLRQVDFFHSWHGWKHULJKWRID6WDWHWR                   QL]HGE\,7/26LQSaiga when it called attention to “the
exercise protection on behalf of alien crew members.230                         WUDQVLHQWDQGPXOWLQDWLRQDOFRPSRVLWLRQRIVKLSV¶FUHZV´
                                                                                DQGVWDWHGWKDWODUJHVKLSV
(5) In 1999, ITLOS handed down its decision in the
Saiga case231 which provides support, albeit not unam-                          FRXOGKDYHDFUHZFRPSULVLQJSHUVRQVRIVHYHUDOQDWLRQDOLWLHV,IHDFK
ELJXRXVIRUWKHULJKWRIWKHÀDJ6WDWHWRVHHNUHGUHVVIRU                    SHUVRQ VXVWDLQLQJ GDPDJH ZHUH REOLJHG WR ORRN IRU SURWHFWLRQ IURP
non-national crew members. The dispute in this case arose                       the State of which such a person is a national, undue hardship would
out of the arrest and detention of the Saiga by Guinea,                         ensue.237
ZKLOHLWZDVVXSSO\LQJRLOWR¿VKLQJYHVVHOVRIIWKHFRDVW
of Guinea. The SaigaZDVUHJLVWHUHGLQ6DLQW9LQFHQWDQG                       3UDFWLFDOFRQVLGHUDWLRQVUHODWLQJWRWKHEULQJLQJRIFODLPV
WKH *UHQDGLQHV ³6W 9LQFHQW´  DQG LWV PDVWHU DQG FUHZ                  VKRXOGQRWEHRYHUORRNHG,WLVPXFKHDVLHUDQGPRUHHI¿-
ZHUH8NUDLQLDQQDWLRQDOV7KHUHZHUHDOVRWKUHH6HQHJD-                         cient for one State to seek redress on behalf of all crew
OHVHZRUNHUVRQERDUGDWWKHWLPHRIWKHDUUHVW)ROORZLQJ                     members than to require the States of nationality of all
the arrest, Guinea detained the ship and crew. In proceed-                      FUHZPHPEHUVWREULQJVHSDUDWHFODLPVRQEHKDOIRIWKHLU
LQJVEHIRUH,7/26*XLQHDREMHFWHGWRWKHDGPLVVLELOLW\                        nationals.
of St. Vincent’s claim, inter aliaRQWKHJURXQGWKDWWKH
injured crew members were not nationals of St. Vincent.                             6XSSRUWIRUWKHULJKWRIWKHÀDJ6WDWHWRVHHNUHGUHVV
7KH 7ULEXQDO GLVPLVVHG WKHVH FKDOOHQJHV WR WKH DGPLV                    IRUWKHVKLS¶VFUHZLVVXEVWDQWLDODQGMXVWL¿HG,WFDQQRW
sibility of the claim and held that Guinea had violated the                     KRZHYHU EH FDWHJRUL]HG DV GLSORPDWLF SURWHFWLRQ 1RU
ULJKWVRI6W9LQFHQWE\DUUHVWLQJDQGGHWDLQLQJWKHVKLS                      VKRXOG LW EH VHHQ DV KDYLQJ UHSODFHG GLSORPDWLF SURWHF-
and its crew. It ordered Guinea to pay compensation to                          tion. In the view of the Commission both diplomatic pro-
                                                                                WHFWLRQE\WKH6WDWHRIQDWLRQDOLW\DQGWKHULJKWRIWKHÀDJ
                                                                                6WDWHWRVHHNUHGUHVVIRUWKHFUHZVKRXOGEHUHFRJQL]HG
    226
        See Hackworth, RSFLW(footnote 127 above), vol. III, p. 418, and     ZLWKRXWSULRULW\EHLQJDFFRUGHGWRHLWKHU6KLSV¶FUHZVDUH
vol. IV, pp. 883–884.
                                                                                RIWHQH[SRVHGWRKDUGVKLSVHPDQDWLQJIURPWKHÀDJ6WDWH
    227
       7KLVFRPPXQLFDWLRQLVRQ¿OHZLWKWKH&RGL¿FDWLRQ'LYLVLRQRI
WKH 2I¿FH RI /HJDO$IIDLUV RI WKH 8QLWHG 1DWLRQV7KH 8QLWHG 6WDWHV
                                                                                LQ WKH IRUP RI SRRU ZRUNLQJ FRQGLWLRQV RU IURP WKLUG
communication relies heavily on a critical article by A. Watts, “The            6WDWHVLQWKHHYHQWRIWKHVKLSEHLQJDUUHVWHG,QWKHVHFLU-
SURWHFWLRQRIDOLHQVHDPHQ´,QWHUQDWLRQDODQG&RPSDUDWLYH/DZ4XDU            cumstances they should receive the maximum protection
terly, vol. 7 (1958), p. 691.                                                   that international law can offer.
    228
        0F&UHDG\ 86  v. 0H[LFR, J. B. Moore, International Arbitra
tions, vol. 3, p. 2536.
    229
        66³,¶P$ORQH´ &DQDGDv.8QLWHG6WDWHV , UNRIAA, vol. III,              232
                                                                                        ,ELG, pp. 45–46, para. 98.
p. 1609.                                                                            233
                                                                                        ,ELG, p. 47, para. 103.
    230
        5HSDUDWLRQ IRU LQMXULHV VXIIHUHG LQ WKH VHUYLFH RI WKH 8QLWHG     234
                                                                                        ,ELG, para. 104.
Nations VHHIRRWQRWHDERYH SS± -XGJH+DFNZRUWK DQG
SS± -XGJH%DGDZL3DVKD 
                                                                                    235
                                                                                        ,ELG, pp. 47–48, para. 105.
    231
         7KH 09 ³6DLJD´ 1R   FDVH 6DLQW 9LQFHQW DQG WKH *UHQ
                                                                                    236
                                                                                        ,ELG, p. 48, para. 106.
DGLQHV v.*XLQHD -XGJPHQW ,7/265HSRUWV, vol. 3, p. 10.                     237
                                                                                        ,ELG, para. 107.
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