I. INTRODUCTION
Article 38(1)(c) of the Statute of the International Court of Justice [ICJ] provides “the general principles of law recognized by civilized nations” as one of the three principal sources of international law.Footnote 1 Although much has been written on the topic, ambiguity remains on the nature, scope, and function of this primary source of international law, as well as on the criteria and methods of their identification.Footnote 2 On 31 March 2016, the Secretariat of the International Law Commission [ILC/Commission] produced a report on the possible topics for consideration in which it listed the “general principles of law” as the foremost of all the six topics considered for codification and progressive development of international law.Footnote 3 In 2018, the topic “general principles of law” was finally included in the work programme of the ILC, and the Commission appointed Mr Marcelo Vázquez-Bermúdez as Special Rapporteur.Footnote 4 In 2019, the Special Rapporteur came up with the first report on the general principles of law.Footnote 5 The report is preliminary and introductory in nature and its main purpose is to lay the foundation for the future work of the Commission on the topic. Nevertheless, the report has come up with a set of three draft conclusions on the general principles of law.Footnote 6 It is interesting to note that the Draft conclusion 3 speaks about the two categories of general principles of law: general principles of law derived from national legal systems and general principles of law formed within the international legal system.Footnote 7 Given this background, it is imperative to understand the current significance of general principles of law and then explore whether the dual categorization of these principles has any substantive roots in the preparatory work of the Permanent Court of International Justice's [PCIJ] Statute.
II. SIGNIFICANCE OF GENERAL PRINCIPLES OF LAW: A SEARCH FOR A THEORY
There are several reasons for the continuing relevance of general principles of law [general principles] as a source of international law. First, general principles may provide a norm or standard when a treaty or custom is non-existent or inapplicable. In fact, general principles were incorporated under the category of primary sources within the Statute of the PCIJ so as to avoid the possibility of non liquet which may arise in situations where conventional and customary laws are either silent or non-applicable. This is also evident from the practice of the PCIJ and the ICJ which have frequently applied principles common to major legal systems in cases where positive sources of international law are inapplicable or absent.Footnote 8 The courts have transposed these principles from national legal systems to the international legal system, filling out the legal gap arising due to the absences of applicable rules of international law. It would not be an exaggeration to conclude that general principles do play a normative role in filling gaps or remedying deficiencies caused by the primary sources (Treaty and Custom) of international law.Footnote 9 Consequently, this has contributed a lot in defining legal relationships between states.
Second, general principles are widely applied to clarify and interpret conventional and customary international law. Scholars such as Lauterpacht have noted that the invocation of general principles by the ICJ is “no more than interpretation of existing conventional and customary law by reference to common sense and the canons of good faith”.Footnote 10 General principles can be employed to interpret ambiguous and uncertain language in conventional and customary international law.Footnote 11 Principles such as “good faith” and “equitable performance” have been relied upon to determine the rights and duties of states either in conventional or customary law. The extent to which one can resort to general principles for interpretative purposes has not been defined, yet their application for such purposes should be in conformity with the existing norms of international law.
Third, general principles have been instrumental in the development of new norms of conventional and customary international law.Footnote 12 Scholars have recognized this function of general principles as essential to the development of international law which is not a static but dynamic process.Footnote 13 In certain situations, general principles have provided a platform for the emergence of jus cogens.
Last, since the idea of general principles vests with its recognition by major national legal systems, the developing world may create any such principles to its advantage at the cost of the developed world; therefore it is pertinent to codify them or lay down the rules for their recognition.
III. THE DRAFTING HISTORY OF ARTICLE 38(1)(c) OF THE STATUTE OF THE ICJ
Article 38 of the Statute of the ICJ is essentially the same as that codified within the Statute of the PCIJ 1920, with modifications only to the introductory partFootnote 14 and in the numbering of the paragraphs and subparagraphs.Footnote 15 Accordingly, it is logical to begin with the negotiating history of Article 38 of the Statute of the PCIJ itself. In February 1920, the Council of the League of Nations appointed an Advisory Committee of Jurists [Advisory Committee]Footnote 16 to prepare a draft for setting up a Permanent Court of International Justice. Before the proceedings of the Advisory Committee could commence, a number of draft schemes prepared by states and individuals relating to the establishment of a World Court were submitted by the Secretariat of the League to the Advisory Committee. Most of these drafts, in addition to treaties and custom, required the Court to apply “general principles of law”,Footnote 17 “general principles of law and equity”,Footnote 18 “general principles of justice and equity”,Footnote 19 or “rules which in the considered opinion of the court, should be the rules of international law”.Footnote 20 The Advisory Committee presented its report along with its Draft Statute of the Court to the Council of the League of Nations at its eighth session (30 July–5 August 1920).Footnote 21
Undoubtedly, as evident from the travaux préparatoires of the Statute of the PCIJ, it was a herculean task entrusted to the Advisory Committee to prepare a plan for establishing a permanent court. This is clearly reflected in the introductory speech of Baron Descamps, the President of the Advisory Committee, who stated:
The Committee of Jurists, entrusted with the preparation of a plan for a Permanent Court of International Justice, fully realizes the great difficulties which are attached to a task in the accomplishment of which numbers of statesmen and jurists have failed since the Conference of 1907.Footnote 22
However, it is clear from the drafting history that the question concerning the organization and competence of the International Court, and the rules to be applied by the judges while dealing with the cases, posed greater ambiguity and complications before the Advisory Committee as compared to the question concerning the working procedure of the court.Footnote 23 Accordingly, the issue of the identification of rules to be applied by the Court emerged as one of the most contentious topics before the Advisory Committee. There was a huge discussion between the members of the Committee on the question of material laws to be applied by the Court.Footnote 24 It started with the President of the Committee, who proposed the following draft on the issue:
The following rules are to be applied by the judge in the solution of international disputes; they will be considered by him in the undermentioned order:
1. conventional international law, whether general or special, being rules expressly adopted by the States;
2. international custom, being practice between nations accepted by them as law;
3. the rules of international law as recognized by the legal conscience of civilized nations;
4. international jurisprudence as a means for the application and development of law.Footnote 25
Most of the members of the Advisory Committee endorsed Clauses 1 and 2 of the President's draft without much discussion.Footnote 26 Regarding Clause 3 of the President's draft there was fierce debate within the Advisory Committee. Responding to the President's draft, Mr Root stated that he was comfortable with Clauses 1 and 2 of the draft but had serious objections on Clause 3 as he could not understand the exact meaning of it.Footnote 27 He enquired whether it referred to something which had been recognized but failed to have the character of law. He believed that Clause 3, if adopted, would result in the enlargement of the jurisdiction of the Court and thereby detrimental to the very existence of the Court. He also wondered whether it was possible to compel states to submit disputes to a Court “which would administer not merely law, but also what it deems to be the conscience of civilized peoples”.Footnote 28 M Hagerup, while disagreeing with Mr Root's opinion, brought the attention of the Committee to a specific situation that might crop up before the Court in which neither conventional nor customary law would be applicable. He therefore argued that a rule must be established in order to avoid the Court declaring itself incompetent (non liquet) on the subject.Footnote 29 He further observed that Mr Root's approach limited the competence of the Court and its power to contribute to the development of law and jurisprudence, and placed the Court in a completely different situation from that of an ordinary court which would not declare non liquet. Responding to this, Mr Root pointed out that nations would accept the compulsory jurisdiction of a court which would only apply universally recognized rules of international law and not a court which would apply principles understood and interpreted differently in different national jurisdictions.Footnote 30
Replying to Mr Root's concern, President Descamps stated that principles of justice might vary from country to country in respect of certain rules of secondary importance but would be identical in the case of
the fundamental law of justice and injustice deeply engraved on the heart of every human being and which is given its highest and most authoritative expression in the legal conscience of the civilized nations. That was the law which could not be disregarded by a judge, a law which in practice, whether it is wished to or not, a judge never would disregard.Footnote 31
He further observed that his proposal would limit the judges from relying too much on their subjective opinions as it would be obligatory for them to examine whether the dictates of their conscience were in conformity with the conception of justice of civilized nations.Footnote 32 Meanwhile, M Ricci-Busatti, another Committee member, also mentioned that it was not a question of creating new rules but merely applying general rules that could resolve the issue.Footnote 33 The President was convinced that if neither a conventional rule nor customary law existed, then the Court must apply the general principles of law so as to avoid the possibility of non liquet. Nevertheless, he was mindful that those principles must confirm with the legal conscience of civilized people. After much deliberation, the term “general principles of law recognized by civilized nations” first appeared in the amended draft proposal submitted by Mr Root at the 15th meeting of the Advisory Committee.Footnote 34 The proposal was approved by the Committee as well as the Assembly of the League of Nations with minor modifications.Footnote 35 It is interesting to note that the “general principles of law recognized by civilized nations” (as it appeared in Mr Root's draft at point 3) retained its place and formulation status quo both under the Statute of the PCIJ as well as of the ICJ.
So far as the question of the exact meaning and content of the term “general principles of law recognized by civilized nations” is concerned, there appears to be limited but useful discussion within the Advisory Committee. M de Lapradelle questioned the inclusion of this source under the doctrine of sources. He pointed out that, since custom is already included as a source from which the general principles were derived, there was no reason to put the “general principles of law” separately under the doctrine of sources unless they could also be extracted from judicial decisions and juristic writings.Footnote 36 On this, Lord Phillimore pointed out that the general principles referred in point 3 were nothing but those principles “which were accepted by all nations in foro domestico, such as certain principles of procedure, the principle of good faith, and the principle of res judicata”.Footnote 37 He further clarified that, by general principles of law, he meant “maxims of law”.Footnote 38 Finally, M de Lapradelle acknowledged that principles which laid the foundations of national law are also sources of international law.Footnote 39 The other members of Committee, including the President, neither made any observation on the content of the general principles nor did they confront the explanation given by Lord Phillimore on the subject.
Accordingly, from the above discussion, the following conclusions may be derived. First, by incorporating “general principles of law” under the doctrine of sources of international law, the Committee excluded the possibility of denial of justice by the International Court which could have resulted if the Court were to apply only positive rules of international law (Treaty and Custom). Such incorporation resulted in upholding the effectiveness of the Court as well as the contribution of the Court to the development of law and jurisprudence. Second, it is explicit from the discussion that the members of the Committee understood the general principles of law as principles of fundamental importance which are embedded in different national legal systems but which have a common understanding and meaning. In other words, it refers to those principles of law which are frequently applied in different national jurisdictions by their domestic courts while dispensing justice. That was probably the reason why the term “recognized by civilized nations” was added to it.Footnote 40 This is further substantiated from the statement of M de Lapradelle, who advocated keeping the phrase as simple as “general principles of law” only, without indicating the exact sources from which these principles may be derived,Footnote 41 but his proposal received no response from his colleagues.
IV. CONCLUSION
The draft conclusion 3 of the ILC report talks about two categories of general principles of law: one which is derived from national jurisdictions while another is formed within the international legal system. This dual categorization does not have any basis in the drafting history of Article 38(1)(c). If the suggestions given by M de Lapradelle had been incorporated and the phrase had just appeared as “general principles of law” without indicating the sources from where these principles may be derived, then the dual categorization of general principles of law by the ILC would be justified to a greater extent. It is worthwhile to note that the entire discussion of the Advisory Committee on the general principles of law was confined to national legal systems. In other words, the drafting history is silent on the question of general principles of law formed within the international legal system. It would not be mistaken to then argue that either the Advisory Committee could not conceive the idea that apart from national legal systems the international legal system can also lead to the formation of certain general principles of law, or that they were reluctant to endorse such an open-ended formulation which would give more liberty to judges to apply these principles as they pleased. Therefore, it can be seen as an innovation by the ILC.
