一个学理与实践中的难题——条约与协议在美国的直接适用与间接适用机理分析

A Dilemma in Academic Theory and Practice——An Analysis of the Mechanism of Direct-Application and Indirect-Application of Treaties and Agreements in the U.S

国际条约和国际协议在美国有直接适用与间接适用之分。除了依据《宪法》第一条第7款和第二条第2款规定,缔结的条约和协议具有直接适用效力之外,总统依据国会授权缔结的协议中,哪些属于直接适用,哪些属于间接适用,在立法上没有明确规定,在实践中也是一个有争议的问题。国会在授权时与总统的协商甚至博弈,最高法院在此问题上的解释等,都是区分直接适用与间接适用的考量因素。这种立法规定的不确定性和司法解释的主观性使得区分直接适用和间接适用的标准变得模糊不清,同时也导致美国各级法院在适用条约和援引先例时的不精确性。因此,把握好这些区别以及了解其内在的机理特征,对于我们准确理解条约和协议在美国国内的效力与适用具有很强的现实意义。

There exist different modes of application regarding treaties and agreements in the United States.Except for those treaties and agreements signable according to paragraph 7 of Article I and paragraph 2 of Article II of the US Constitution which are entitled to direct application,of those signed by the president under congressional authorization,which are entitled to direct application and which are not,this has not been clarified in legislation and is still disputable in practice.The bargaining,even gaming between the Congress and the President and the judicial interpretations by the Supreme Court,are among the important factors for considering this issue.The unpredictability of legislation and the arbitration of the judicial interpretation have made the criteria even vaguer.At the same time,it also leads to the lack of precision on the part of all the levels of U.S.courts when deciding the applicability of treaties and quoting precedence.Thus,it is of practical significance for us to understand this difference and the inherent characteristics of their mechanism when we study the effectiveness and applicability of international treaties and agreements in the United States.