论国际法上领土取得的“实际统治”原则:一个批判性的视角

On “Effectivités” Principle for Acquisition of Territory in International Law: A Critical Perspective

有效先占制度是19世纪西方国际法的殖民遗产,旨在预防欧洲殖民列强之间在领土征服进程中的利益冲突,其事实要素是"实际统治"的存在。自20世纪初以来,"实际统治"原则逐渐从冲突预防向争端解决的功能转变,在领土主权争端中成为司法裁判的事实方法。本文认为,"实际统治"的司法称量,实质上是一种基于概率计算的国际法公式。尽管它有助于司法裁决者作出事实判断,但高度僵硬的裁决体制和相对自由的事实认定可能会造成"实际统治"历史的法律真实与客观真实发生背离,而这种背离在作为核心利益的领土主权问题上又可能导致勉强成立的裁判结果从旧的争议走向新的争论,进而损害国际司法机构的权威性和国际和平秩序的稳定性。

As a colonial legacy of nineteenth-century international law in the west,the regime of effective occupation was initially designed to prevent the conflict of interest among European colonial powers in the process of territorial conquest,its factual element being the existence of the＂effectivités＂.Since the beginning of the twentieth century,the＂effectivités＂principle has shifted its function from conflict prevention to dispute resolution,turning into a factual method of adjudicating territorial disputes.This paper argues that the weighing up of the＂effectivités＂is substantially an international law formula based on the calculation of probabilities.Although this formula is more helpful for adjudicators to make a factual judgment,the highly rigid adjudicating process and significant degree of freedom to ascertain the facts underlying judicial decisions would lead to a situation where formal legal truth and substantive truth may diverge in a particular case involving＂effectivités＂.Such divergence may further make reluctant judicial decisions more controversial in the matter of territorial sovereignty as vital interest,having a detrimental effect on the authority of international adjudicative bodies and the stability of international peaceful order.