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三. 奴隶制、殖民主义和种族歧视 | III. Slavery, colonialism and racial discrimination |
16. 跨大西洋奴隶贸易被称为第一个全球化体制。21 跨大西洋奴隶制和奴隶贸易的核心是依据“种族”对人性的剥夺；一种迄今依然对享有基本人权的机会起着决定作用的社会构架。22 奴隶制和奴隶贸易体现并持久加深了极端形式的种族歧视，它依赖本国及国际法律框架在受到跨大西洋奴隶制影响的世界各地构筑和维护了种族等级制度。例如到 17 世纪中叶，在美洲各殖民地，黑人在法律上均被认定为动产奴隶，即视作财产而不是人。“‘黑人’的种族身份标明了谁是受奴役的人；‘白人’的种族身份标明谁是‘自由’的或者至少不是奴隶”。23 作为一种法律体制，奴隶制采用种族来决定哪些人将面临成为可以购买、出售、继承甚至用来抵押的财产这种待遇。24 | 16. The transatlantic slave trade has been described as the first system of globalization. 21 At the core of transatlantic slavery and the slave trade was the dehumanization of persons on the basis of “race”; a social construct that to this day shapes access to fundamental human rights. 22 Slavery and the slave trade embodied and entrenched extreme forms of racial discrimination, relying on domestic and international legal frameworks to institute and protect racial hierarchy in the various parts of the world affected by transatlantic slavery. For example, by the mid-seventeenth century, black people were recognized as chattel slaves in law – as property, rather as than humans – in the American colonies. “‘Black’ racial identity marked who was subject to enslavement; ‘white’ racial identity marked who was ‘free’ or, at minimum, not a slave.” 23 As a legal institution, slavery used race to determine which humans would face treatment as property to be bought, sold, inherited and even used as collateral. 24 |
17. 2001 年在南非德班举行的反对种族主义、种族歧视、仇外心理和相关不容忍行为世界会议上通过、并得到大会 2002 年第 56/266 号决议确认的《德班宣言和行动纲领》中，会员国谴责“奴隶制和奴隶贸易，包括跨大西洋奴隶贸易，是人类历史上令人震惊的悲剧，这不仅在于其骇人听闻的野蛮，而且也在于其有组织性质的规模、特别是对受害者实质的否定”。25 各国进一步宣称，“奴役和奴隶贸易特别是跨大西洋的奴隶贸易是危害人类罪”。26 《世界人权宣言》、27 《废止奴隶制、奴隶贩卖及类似奴隶制的制度与习俗补充公约》28 和《公民权利和政治权利国际公约》29 也就国际上对奴隶制的禁止作了阐述。 | 17. In the Durban Declaration and Programme of Action, adopted at the World Conference against Racism, Racial Discrimination, Xenophobia and Related Intolerance, held in Durban, South Africa, in 2001, and endorsed by the General Assembly in its resolution 56/266 in 2002, Member States denounced “slavery and the slave trade, including the transatlantic slave trade, [as] appalling tragedies in the history of humanity not only because of their abhorrent barbarism but also in terms of their magnitude, organized nature and especially their negation of the essence of the victims”.25 They further declared that “slavery and the slave trade are a crime against humanity and should always have been so, especially the transatlantic slave trade”.26 The international prohibition of slavery is also articulated in the Universal Declaration of Human Rights,27 the Supplementary Convention on the Abolition of Slavery, the Slave Trade and Institutions and Practices Similar to Slavery, 28 and the International Covenant on Civil and Political Rights. 29 |
18. 种族歧视也是欧洲殖民主义的核心。特别报告员曾经指出，30 欧洲人先对美洲、然后在亚洲和非洲的殖民统治最终将种族构设为“所谓生物学上不同的体系结构，它将某些种族放置在低于其他种族的自然状况之中”。31 殖民主义将“种族和种族身份”整合为“基本社会分类的工具”，32 其中种族被定为“将世界人口按等级、地位和角色在新[殖民]的社会权力结构中的基本分配标准”。33 几个世纪以来，殖民主义维护并依赖了残酷的奴隶制和契约奴役制度，以建立和维持跨国的剥削采掘工序和定居者殖民地。34 殖民主义、包括通过使用国内和国际法律实施的殖民主义，也依据种族来分配人权；殖民列强利用现已声名狼藉的“科学”生物种族理论，为禁止非白人享受最基本人权的法律辩护。在殖民主义制度下，国际法等法律在巩固和促进种族统治和歧视的全球结构方面发挥了核心作用。35 | 18. Racial discrimination was also at the core of European colonialism. As the Special Rapporteur has previously noted, 30 European colonial domination, first in the Americas and then in Asia and Africa, eventually constructed race as “a supposedly different biological structure that placed some in a natural situation of inferiority to the others”.31 Colonialism consolidated “race and racial identity” as “instruments of basic social classification” 32 and made the former “the fundamental criterion for the distribution of the world population into ranks, places, and roles in the new [colonial] society’s structure of power”.33 For centuries, colonialism justified and relied upon brutal regimes of slavery and indentured servitude to establish and sustain transnational extractivist processes in exploitation and settler colonies.34 Colonialism, including through its use of national and international law, also allocated human rights on a racial basis; colonial powers used the now-discredited “scientific” theories of biological races to justify laws prohibiting non-whites from enjoying the most fundamental of human rights. Under colonialism, law, including international law, played a central role in consolidating and furthering global structures of racial domination and discrimination. 35 |
19. 在德班举行的反对种族主义世界会议上，会员国谴责殖民主义的残暴，呼吁谴责殖民主义并防止其再次发生。36 会员国并唾弃殖民主义，认为它违背了基本人权、自决和发展。37 联合国《给予殖民地国家和人民独立宣言》指出，“使人民受外国的徵服，统治和剥削的这一情况，否认了基本人权，违反了联合国宪章，并妨碍了增进世界的和平与合作”。38 去殖民化的核心是包括在《宣言》中从根本上肯定，“所有民族均有自决权；他们凭借这种权利自由决定他们的政治地位，并自由谋求他们的经济、社会和文化的发展”。39 大会此后并对殖民主义的这一谴责载入其人权体制，包括载入了《联合国消除一切形式种族歧视宣言》、40 《消除一切形式种族歧视国际公约》、41 《发展权利宣言》。42 | 19. At the World Conference against Racism in Durban, Member States denounced the brutality of colonialism, calling for its condemnation and for the prevention of its reoccurrence.36 Member States have also rejected colonialism as incompatible with fundamental human rights, self-determination, and development. 37 The United Nations Declaration on the Granting of Independence to Colonial Countries and Peoples states that “the subjection of peoples to alien subjugation, domination and exploitation constitutes a denial of fundamental human rights, is contrary to the Charter of the United Nations and is an impediment to the promotion of world peace and co-operation”.38 At the core of decolonization was the fundamental affirmation, including in the Declaration, that “all peoples have the right to self-determination; by virtue of that right they freely determine their political status and freely pursue their economic, social and cultural development”. 39 The General Assembly has since enshrined that condemnation of colonialism in its human rights system, including in the United Nations Declaration on the Elimination of All Forms of Racial Discrimination,40 the International Convention on the Elimination of All Forms of Racial Discrimination,41 and the Declaration on the Right to Development.42 |
跨大西洋奴隶制和殖民主义的当代种族歧视余孽 | Contemporary racially discriminatory legacies of transatlantic slavery and colonialism |
20. 虽然奴隶制和殖民主义受到了国际上的谴责，但这种现象依然存在，需要会员国采取紧急行动。43 此外，正式废除奴隶制和殖民主义并没有解决由于这些行为造成的种族歧视结构。换言之，种族歧视在当代的许多表现形式必须理解为是未充分纠正的种族不公正和不平等的历史形式和结构的一种延续。44 因此，联合国会员国和联合国机关正确地强调指出，殖民主义和跨大西洋的奴隶贩卖是造成当代许多祸害和侵犯人权行为的原因。《德班宣言》将殖民主义和跨大西洋奴隶制确定为依然是种族歧视和持续不平等延续至今的根源。45 促进和保护人权小组委员会还强调指出，这些行为的有害影响延续到 21 世纪。46 | 20. Although slavery and colonialism are the object of international condemnation, they still occur and require urgent action from Member States.43 Furthermore, the formal abolition of slavery and colonialism has not addressed the ongoing racially discriminatory structures built by those practices. In other words, many contemporary manifestations of racial discrimination must be understood as a continuation of insufficiently remediated historical forms and structures of racial injustice and inequality. 44 Accordingly, United Nations Member States and organs have rightly emphasized that colonialism and the transatlantic slave trade are a cause of numerous contemporary harms and human rights violations. The Durban Declaration identifies both colonialism and transatlantic slavery as evils that remain contemporary sources of racial discrimination and persistent inequality. 45 The Sub-Commission on the Promotion and Protection of Human Rights also emphasized that the harmful effects of those practices continue into the twenty-first century.46 |
21. 在这些 21 世纪初的结论之前，已有许多联合国文件表达了类似的结论，包括《建立新的国际经济秩序宣言》47 和联合国教育、科学及文化组织《种族与种族偏见问题宣言》。48 1993 年第一次关于对非洲人的奴役、殖民化和新殖民问题作出赔偿泛非会议通过的《非洲统一组织阿布贾宣言》序言也强调了这些“历史性”侵权行为的延续性质。49 在过去几十年中，联合国特别程序任务负责人还得出结论，指出殖民主义和奴隶贸易已经深刻地延续了种族歧视，并仍然是种族主义和种族歧视性质的侵犯人权行为当代表现形式的根源。50 | 21. Preceding the conclusions dating from the early twenty-first century are numerous United Nations documents that express a similar conclusion, including the Declaration on the Establishment of a New International Economic Order 47 and the United Nations Educational, Scientific and Cultural Organization Declaration on Race and Racial Prejudice. 48 The preamble to the Abuja Proclamation of the Organization of African Unity, adopted at the first Pan-African Conference on Reparations for African Enslavement, Colonization and Neo-colonization in 1993, also emphasizes the ongoing nature of those “historical” violations.49 Over the past few decades, United Nations special procedure mandate holders have also concluded that colonialism and the slave trade have entrenched racial discriminationand continue to be a root cause of contemporary manifestations of racism and racially discriminatory violations of human rights.50 |
22. 美国的例子说明了已被废除的动产奴隶制仍存在长期的余孽。奴隶解放后，南方各州实施了种族隔离法律和惯例，白人实际上获得了恐吓黑人社区的特许。51 大约有 5000 名黑人被白人暴徒处以私刑，52 另有许多人遭到殴打或性侵犯。53 司法系统并不保护黑人免受暴力；相反，白人在法律体系的包庇下找到了藏身之处。54即使在今天，执法当局和义务自发刑警民众杀害和残暴虐待黑人的数量依然惊人，而且很少受到追究。55 目前，美国有 220 万人关押在监狱和监狱中，56 并从囚徒身上抽取免费或低薪的劳动力。57 黑人成年人被监禁的机率是白人成年人的 5.9倍。58 出现这样的种族差异并非偶然：大规模监禁是奴隶制及随后的“吉姆·克罗”时代的种族隔离产生的余孽。5923. 黑人即使在摆脱奴隶制以后继续面临经济剥削，并通过佃农制度被迫借债。60许多人获得解放后仍在以前受奴役的种植园里劳作，并因对前奴隶主所欠的的债务而被压得喘不过气来。此外，黑人无法通过财产所有权获得财富。那些逃离美国南部到北方寻找更好机会的人因为种族限制的规约而被迫进入种族隔离的社区，这些规约是一些在财产契约上写明不得向黑人出售的协议。61 | 22. Examples from the United States illustrate the long legacy of chattel slavery, notwithstanding its abolition. After emancipation, southern states implemented segregationist laws and practices and whites were effectively granted a licence to terrorize black communities.51 Approximately 5,000 black people were lynched by white mobs 52 and many others were beaten or sexually assaulted. 53 The judicial system did not protect black people from violence; instead, white people found refuge in the complicity of the legal system. 54 Even today, black people are killed and brutalized at alarming rates by law enforcement authorities and vigilantes, who have little to no accountability.55 Currently, 2.2 million people are incarcerated in jails and prisons in the United States, 56 which extract free or low-wage labour from those behind bars.57 Black adults are 5.9 times more likely to be incarcerated than white adults. 58 Such racial disparities do not occur by accident: mass incarceration is a vestige of slavery and the “Jim Crow” era of racial segregation that followed. 59 |
这些规约是一些在财产契约上写明不得向黑人出售的协议。61掠夺性贷款行为也剥夺了黑人拥有住房的裨益。62克服了经济歧视而过上富裕生活的黑人社区面临暴力，从而破坏了他们获得经济提升和稳定的机会。1921 年的塔尔萨种族大屠杀就是一个极好的例子：白人暴徒闯入俄克拉何马州塔尔萨的格林伍德区，这是当时美国最富有的黑人社区之一，被称为“黑人华尔街”。63 800 多人受伤，多达 300人被杀，同时 35 个街区的商业和住宅财产被毁。64 黑人在种族上的从属地位在动产奴隶制盛行时期得到巩固并持续了几代人，直到今天仍产生着效应。在美国，约有 21%的黑人生活在贫困中，是白人(8.8%)的两倍多。65 按照目前黑人家庭财富的增长速度，估计黑人家庭需要近 230 年的时间才能获得与白人家庭目前相同数量的财富。66 研究人员指出，“这些贫富差距起源于历史性的不公正，并通过未扭转不公平趋势的做法和政策而得以延续”。67 | 23. Even after freedom from enslavement, black people continued to face economic exploitation and were forced into debt peonage through sharecropping. 60 After emancipation, many worked on the same plantations on which they had previously been enslaved, and were crippled by debts to former slave masters. In addition, black people were prevented from obtaining wealth through property ownership. Those fleeing the southern United States in search of better opportunities in the north were forced into segregated communities by way of racially restrictive covenants, which were agreements written into property deeds prohibiting sale to black people. 61 Predatory lending practices also robbed black people of the benefits of home ownership. 62 Black communities that thrived in spite of economic discrimination faced violence that devastated their opportunities for economic uplift and stability. The Tulsa race massacre of 1921 is a prime example: white mobs descended upon the Greenwood District in Tulsa, Oklahoma, which was one of the wealthiest black communities in the United States at the time and known as “Black Wall Street”.63 Over 800 people were injured, and as many as 300 people were killed, while 35 square blocks of commercial and residential property were destroyed. 64 The racial subordination of black people, consolidated during the peak of chattel slavery, persisted for generations, and remains in effect today. Around 21 per cent of black people live in poverty in the United States, which is more than double the rate for white people (8.8 per cent).65 Given the current pace of growth in wealth among black families, it is estimated that it will take nearly 230 years for black families to obtai n the same amount of wealth that white families currently have. 66 As researchers have noted, “these wealth disparities are rooted in historic injustices and carried forward by practices and policies that fail to reverse inequitable trends”.67 |
24. 巴西是殖民主义和奴隶制的当代种族歧视余毒的另一个例子。被运送到美洲的非洲人奴隶确切人数已无法确定。当代的研究估计大约有 1 200 万人，其中 46%被带到巴西，68 经历了最严重形式的侵犯人权行为。奴隶制废除之后，种族隔离、“白化”政策和对非洲裔巴西人的其他形式的体制化歧视保留了奴隶制造成的种族等级制度。69 虽然巴西政府试图解决针对非洲裔巴西人的结构性种族主义问题，但奴隶制和殖民化的阴影依然挥之不去、无法补救，仍然充斥巴西社会。虽然非洲裔巴西人占人口的多数，但他们继承的从属性社会地位剥夺了他们的政治权力。70 非洲裔巴西人面临着持续的种族歧视和体制性排斥，并且仍然处于社会经济阶梯的底层。71 与欧洲裔巴西人相比，非洲裔巴西人的社会和经济条件较差，包括平均收入较低，预期寿命较短，教育和住房缺乏，失业率较高，粮食不安全较为严重。72 此外，由于根深蒂固的、国家支撑的歧视，国家继续将非洲裔巴西人认定为刑事犯罪，并超常地经常监禁和野蛮暴力对待他们，包括实行法外处决。73 | 24. Brazil offers another example of the contemporary racially discriminatory legacies of colonialism and slavery. It is not possible to determine the exact number of enslaved Africans that were transported to the Americas. Contemporary research places the estimate at about 12 million, 46 per cent of whom were taken to Brazil 68 and experienced the grossest forms of human rights violations. After the abolition of slavery, racial segregation, “whitening” policies and other forms of institutionalized discrimination against Brazilians of African descent preserved the racial hierarchies created by slavery.69 Although the Government of Brazil has attempted to address the issue of structural racism against Brazilians of African descent, the lingering unremedied effects of slavery and colonialization still permeate Brazilian society. Although Brazilians of African descent constitute a demographic majority, their inherited subordinate social status has deprived them of political power. 70 Brazilians of African descent face ongoing racial discrimination and institutional exclusion, and remain at the bottom of the socioeconomic ladder. 71 Compared with Brazilians of European descent, Brazilians of African descent endure poorer social and economic conditions, including lower average income, lower life expectancy, inadequate education and housing, higher rates of unemployment and greater food insecurity.72 Furthermore, as a result of entrenched and State-sponsored discrimination, the State continues to criminalize and disproportionately subject Brazilians of African descent to imprisonment and brutal violence, including extrajudicial executions.73 |
25. 总而言之，种族歧视、不平等和从属关系遗留至今的结构是奴隶制和殖民主义最突出的余孽之一。在赔偿中，这些结构需要受到紧急的关注。 | 25. In sum, contemporary structures of racial discrimination, inequality and subordination are among the most salient legacies of slavery and colonialism. Those structures require urgent attention in the context of reparations. |
四. 国家根据国际人权法对种族歧视作出赔偿的义务 | IV. Duties of States to provide reparations for racial discrimination under international human rights law |
A. 根据国际公法和国际人权法对奴隶制和殖民主义作出赔偿的体制性方式 | A. Structural approach to reparations for slavery and colonialism under public international law and international human rights law |
26. 1974 年，大会确认，所有国家在彼此公平、主权平等、相互依存、具有共同利益、相互合作的基础上建立新的国际经济秩序对于纠正不平等和解决植根于殖民主义不公正而言至关重要。74 大会指出，“外来统治和殖民统治、外国占领、种族歧视、种族隔离和形形色色的新殖民主义仍然是发展中国家和所有有关人民的彻底解放和进步的最大障碍之一”。75 《建立新的国际经济秩序宣言》为国际体系(和国际法)的结构改革提供了蓝图，这对于修复主要建筑在殖民主义和奴隶制余孽基础上的不平等和歧视结构仍然极为重要。联合国在《宣言》和其他文书中承认，自决权以及更广义的社会进步都要求各国消除殖民主义、奴隶制及其所有后果。76 各国认识到这些历史性侵权行为的枷锁继续阻碍了享有人权的情况，必须将争取实现公正和公平的国际秩序视为对奴隶制和殖民主义作出赔偿的一个紧迫方面。 | 26. In 1974, the General Assembly recognized that the establishment of a new international economic order, based on equity, sovereign equality, interdependence, common interest and cooperation among all States, was essential to correcting inequalities and redressing injustices rooted in colonialism. 74 It stated that “the remaining vestiges of alien and colonial domination, foreign occupation, racial discrimination, apartheid and neo-colonialism in all its forms continue to be among the greatest obstacles to the full emancipation and progress of the developing countries and all the peoples involved”.75 The Declaration on the Establishment of a New International Economic Order provided a blueprint for the structural reform of the international system (and international law) that remains vital to repairing the structures of inequality and discrimination that were built predominantly from the legacies of colonialism and slavery. In the Declaration and other instruments, the United Nations has recognized that the right to self-determination, and to social progress more generally, requires States to eliminate colonialism, slavery and all its consequences.76 Recognizing that the yoke of those historical violations continues to impede the enjoyment of human rights, States must treat the pursuit of a just and equitable international order as an urgent dimension of reparations for slavery and colonialism. |
27. 同样，土著人民权利专家机制指出：土著人民认为，承认、赔偿与和解是解决殖民化及其长期影响，克服具有深层历史根源的困难的一种方式。在这方面，承认土著人民的自决权(包括自由、事先和知情的同意)、其自治权和政治参与权、对其土地的主张以及对土著司法制度和习惯法的承认都应被视为承认、赔偿与和解的重要组成部分。77 | 27. In a similar vein, the Expert Mechanism on the Rights of Indigenous Peoples has stated that: indigenous people view recognition, reparation and reconciliation as a means of addressing colonization and its long-term effects and of overcoming challenges with deep historical roots. In this regard, recognition of the right of indigenous peoples to self-determination (including free, prior and informed consent), their rights to autonomy and political participation, their claims to their lands and the recognition of indigenous juridical systems and customary laws should be considered an essential part of recognition, reparation and reconciliation. 77 |
28. 还必须将全面执行《消除一切形式种族歧视国际公约》理解为实现对奴隶制和殖民主义作出赔偿的根本手段。《公约》缔约国直接摒弃了殖民时代关于种族的理论，重申深信“任何基于种族差别的种族优越学说，在科学上均属错误，在道德上应予谴责，在社会上均属失平而招险，无论何地，理论上或实践上的种族歧视均无可辩解”。78 此外，鉴于《公约》得到通过，缔约国明确回顾了殖民主义中普遍存在的种族歧视。79 《公约》为拆除种族歧视的结构、包括那些根植于历史上种族不公正的结构提供了健全的蓝图。为有效保护个人免受各种形式的种族歧视，就需要诉诸司法、追究责任、作出赔偿、作出不再发生的保证并消除有罪不罚现象。80 此外，《公约》要求缔约国“以一切适当方法实行消除一切形式 | 28. Full implementation of the International Convention on the Elimination of All Forms of Racial Discrimination must also be understood as an essential means of achieving reparations for slavery and colonialism. In a direct repudiation of colonial-era biological theories of race, States parties to the Convention affirmed their belief that “any doctrine of superiority based on racial differentiation is scientifically false, morally condemnable, socially unjust and dangerous, and that there is no justificatio n for racial discrimination, in theory or in practice, anywhere”.78 Furthermore, with the adoption of the Convention, States parties explicitly recalled the racial discrimination endemic in colonialism.79 The Convention provides a solid blueprint for dismantling racially discriminatory structures, including those rooted in historical racial injustices. The effective protection of individuals from forms of racial discrimination requires access to justice, pursuit of accountability, reparations, guarantees of non-recurrence, and the elimination of impunity. 80 |
罪不罚现象。80 此外，《公约》要求缔约国“以一切适当方法实行消除一切形式种族歧视”81 并预计有必要采取“使若干须予必要保护的种族或民族团体或个人获得充分进展而采取的特别措施”或平权行动，“以期确保此等团体或个人同等享受或行使人权及基本自由”。82 特别报告员强调各国有义务采取特别措施纠正历史上的侵权行为和伤害。83 | Furthermore, the Convention requires States parties “to pursue by all appropriate means and without delay a policy of eliminating racial discrimination in all its forms” 81 and anticipates the necessity of special measures or affirmative action “taken for the sole purpose of securing adequate advancement of certain racial or ethnic groups or individuals requiring such protection as may be necessary in order to ensure such groups or individuals equal enjoyment or exercise of human rights and fundamental freedoms”.82 The Special Rapporteur has emphasized the obligation of States to undertake special measures to correct historical violations and harms.83 |
B. 根据国际公法和国际人权法(包括针对种族歧视)作出赔偿的义务 | B. Duty to provide reparations (including for racial discrimination) under public international law and international human rights law |
29. 国际惯例、法庭裁决和其他国际法来源长期以来一直认为，国家违反法律义务的行为需要由国家承担作出充分赔偿的责任。84 国际常设法院于 1927 提出论点：“按照国际法原则，如果违反约定，有责任以适当形式作出赔偿。因此，赔偿是对[违反约定]不可或缺的补充”。85 | 29. International practices, tribunal decisions and other sources of international law have long held that State breaches of legal obligations entail a responsibility on the part of States to provide full reparations. 84 As the Permanent Court of International Justice concluded in 1927, “it is a principle of international law that the breach of an engagement involves an obligation to make reparation in an adequate form. Reparation therefore is the indispensable complement of a [breach]”.85 |
30. 传统上，国际法中规定的赔偿涉及由一国向另一国提供复原或赔偿。86 尽管欧洲殖民列强实行严重种族歧视的侵犯人权行为有很长的历史(包括种族灭绝)，但却是德国在大屠杀期间恣意侵权行为推动国际赔偿发生了重要的转变。虽然国际赔偿的主导性概念几乎完全属于国家之间的范畴，但到 1950 年代初，关于国际赔偿的新概念包含了国家对个人和国家对社会的直接的赔偿。87 | 30. Traditionally, reparations in international law involved restitution or compensation from one State to another State.86 Notwithstanding the long history of gross racially discriminatory human rights violations by European colonial powers (including genocide), it was the unconscionable acts of Germany during the Holocaust that gave momentum to an important shift in international reparations. Although the dominant conception of international reparations had been almost exclusively inter-State, by the early 1950s the emergent concept of international reparations included direct State-to-individual and State-to-society reparations.87 |
31. 大会 2001 年通过关于国家对国际不法行为的责任的条款草案附有评注，88概述了当代对国家赔偿义务的解读。第 31 条的条款草案根据目前的国际法以法律形式规定了国家作出赔偿的基本义务：如果“损害包括一国国际不法行为造成的任何损害，无论是物质损害还是精神损害”，则责任国有义务“对国际不法行为所造成的损害提供充分赔偿”。89 条款草案的评注指出第 31 条中的两个要素与国际法所载的原则相应。90 评注中还指出，第 31 条要求责任国努力提供一种或多种赔偿形式“消除非法行为的所有后果，恢复实行不法行为以前极可能存在的状况”。91 | 31. The draft articles on responsibility of States for internationally wrongful acts, with commentaries, adopted by the General Assembly in 2001, 88 outline a contemporary understanding of the obligation of States to make reparations. Drawing on existing international law, article 31 of the draft articles codifi es the basic reparative obligation of States: “to make full reparation for the injury caused by the internationally wrongful act” where “injury includes any damage, whether material or moral, caused by the internationally wrongful act of a State ”.89 In the commentary to the draft articles, it is noted that two of the elements of article 31 correspond to principles enshrined in international law. 90 It is also noted in the commentary that article 31 requires a responsible State to endeavour to “wipe out all theconsequences of the illegal act and re-establish the situation which would, in all probability, have existed if that act had not been committed” 91 through the provision of one or more of the forms of reparation. |
32. 根据关于国家对国际不法行为的责任的条款草案，国家有义务对多种类别违反国际法的行为作出赔偿，包括违反条约法的行为，以及危害人类罪、侵犯人权和对所有对象的所有侵权行为。92 然而，条款草案对国家的国际责任和相关赔偿义务制定了相当严格的标准。93 条款草案避免论及国家补偿因合法行为造成损害的义务，94 而是提出论点指出国家只对国际不法行为和可归咎于国家的行为负有担国际责任。95 同样，得到公认的跨时期原则限制了国家对于那些在发生时国际上认定为不法的行为作出赔偿的责任。96 然而，跨时期原则并不是绝对的禁止。 | 32. In accordance with the draft articles on responsibility of States for internationally wrongful acts, States owe obligations to make reparations for a wide range of violations of international law, including violations of treaty law, as well as crimes against humanity, human rights violations and violations erga omnes. 92 However, the draft articles codify a fairly strict standard regarding a State ’s international responsibility and the associated obligation to make reparations.93 The draft articles decline to discuss the obligations of States to repair harms caused by legal acts,94 concluding instead that States only incur international responsibility for acts that are both internationally wrongful and attributable to the Sta te.95 Similarly, the widely recognized intertemporal principle limits State responsibility for reparations to those acts that were internationally wrongful at the time the State committed them. 96 However, the intertemporal principle is not an absolute bar. |
在以下情况中可适用国际责任时限的延长机制：(a) 某一行为是持续发生的，并延续到国际法认为该行为系违法行为之时；97 或(b) 不法行为的直接而持续的后果一直延续到该行为及其后果被视为国际不法行为之时。98 鉴于上文所述的种族歧视的持续的余孽，这两个例外就涉及跨大西洋奴隶制和殖民主义的赔偿而言至关重要。 | Extensions in time for international responsibility apply when: (a) an act is ongoing and continues to a time when international law considered the act to be a violation; 97 or (b) the direct ongoing consequences of the wrongful act extend to a time when the act and its consequences are considered internationally wrongful. 98 Both of those exceptions are vital to the context of reparations related to transatlantic slavery and colonialism, given the continuing legacies of racial discrimination discussed above. |
33. 在过去几年里，国际法委员会一直在进行界定危害人类罪的条款草案工作，并讨论了国家对于避免、预防和纠正此类罪行的义务。99与国际人权法规定的义务类似，第 12(3)条当前的草案设想国家有义务确保个人“有权就受到的物质和精神损害以个人或集体方式获得赔偿，这种赔偿酌情包括以下一种或多种形式：恢复原状；补偿；平反；康复；停止和保证不再发生”。100 | 33. Over the past several years, the International Law Commission has worked on draft articles defining crimes against humanity and discussing State obligations to refrain from, prevent and redress such crimes. 99 Similar to the obligations under international human rights law, the current draft of article 12 (3) envisions State obligations to ensure that individuals enjoy “the right to obtain reparation for material and moral damages, on an individual or collective basis, consisting, as appropriate, of one or more of the following or other forms: restitution; compensation; satisfaction; rehabilitation; cessation and guarantees of non-repetition”.100 |
34. 20 世纪 40 年代国际人权体制的形成与第二次世界大战后国际赔偿概念的转变两者之间存在着协同作用。国际人权制度运作的基本前提是，违反国际人权法的行为使违法者承担对于这些侵权行为作出充分、有效赔偿的义务。101侵犯人权行为(包括种族歧视行为)的受害者对此则相应地拥有获得充分赔偿的权利。《消除一切形式种族歧视国际公约》第 6 条对此有明确规定：缔约国应保证在其管辖范围内，人人均能经由国内主管法庭及其他国家机关对违反本公约侵害其人权及基本自由的任何种族歧视行为，获得有效保护与救济，并有权就因此种歧视而遭受的任何损失向此等法庭请求公允充分的赔偿或补偿。 | 34. The emergence of international human rights systems in the 1940s and the post-Second World War conceptual shift in international reparations are synergistic. The international human rights system operates on the fundamental premise that violations of international human rights law incur an obligation on violators to provide adequate and effective reparations to victims of those violations.101 Victims of human rights violations, including racially discriminatory violations, hold a corresponding right to full reparations. Article 6 of the International Convention on the Elimination of All Forms of Racial Discrimination is clear in that regard: States Parties shall assure to everyone within their jurisdiction effective protection and remedies, through the competent national tribunals and other State institutions, against any acts of racial discrimination which violate his human rights and fundamental freedoms contrary to this Convention, as well as the right to seek from such tribunals just and adequate reparation or satisfaction for any damage suffered as a result of such discrimination. |
35. 提出这项规定的原因是，要使权利具有切实的意义，就必须规定有效的补救办法，102 而赔偿是充分补救的核心要素。联合国人权系统成员还指出，为确保诉诸司法103并针对可能的侵权行为提供保护104以及为确保侵权行为停止而且不再发生、105 制止有罪不罚，106 必须提供有效的补救措施、赔偿和纠正措施。欧洲、美洲和非洲的人权制度与联合国人权制度相似，都力图确保对侵犯人权和相关的不法行为作出补救。107 | 35. That requirement arises because, for rights to have meaning, effective remedies must be available to redress violations, 102 and reparations form a central element of full remediation. Members of the United Nations human rights system also note that effective remedies, reparations and redress are necessary for ensuring rights to access justice103 and to protection against possible violations, 104 as well as for ensuring the cessation and non-recurrence of violations105 and for combating impunity.106 Similar to the United Nations human rights system, the European, inter-American and African human rights systems seek to ensure remedies for violations of human rights and associated wrongful acts.107 |
C. 对国际法规定的赔偿形式的综合理解方式 | C. Comprehensive approach to understanding forms of reparations under international law |
36. 国家对国际不法行为的责任条款草案阐明，国际公法就针对国际不法行为的赔偿规定了相当广泛的意见。108 为作出充分的赔偿，需要酌情提供复原、赔偿和平反。如果有可能，各国就需要恢复原状，即恢复到国际不法行为发生之前的状态。109如果完全恢复原状在物质上没有可能，或者规模上与所遭受的损害不相称，110 各国应以赔偿来补充恢复原状的行动。111 如果恢复原状和补偿未能带来充分的赔偿，则各国有义务执行各种形式的平反措施。112平反的形式可能包括承认不法行为、表示遗憾、正式道歉或其他适当方式，113 例如保证不再发生的预防措施。114 | 36. Public international law, as articulated by the draft articles on responsibility of States for internationally wrongful acts, provides for a fairly broad conception of reparations for internationally wrongful acts. 108 Full reparations entail restitution, compensation and satisfaction, as appropriate. States are required, if possible, to pursue restitution, that is, restoration to the status quo before the internationally wrongful act was committed.109 If full restitution is not materially possible or is out of proportion to the harm suffered,110 States should supplement their restitution efforts with compensation. 111 Should restitution and compensation fail to result in full reparations, States have an obligation to implement forms of satisfaction. 112 Forms of satisfaction may include an acknowledgement of the breach, an expression of regret, a formal apology or another appropriate modality, 113 such as a prevention of non-repetition.114 |
37. 国家关于国际不法行为的责任条款草案规定了三管齐下的方式，与此相比联合国人权系统对各种补救和赔偿采取了更详细和更广泛的措施。大会 2005 年通过的《严重违反国际人权法和严重违反国际人道主义法行为受害人获得补救和赔偿的权利基本原则和准则》115 (《基本原则和准则》)旨在整合对联合国人权系统内承认的补救和赔偿方面的权利和最佳做法。116 《基本原则和准则》针对侵权行为规定了 5 种补救和赔偿形式：恢复原状、赔偿、康复、平反和保证不再发生。117 这五种形式的每一种在确保全面有效的补救方面起着不同的作用，与过渡期正义的理念有密切关联性。118 复原的目的是“将受害人恢复到发生严重违反国际人权法或严重违反国际人道主义法行为之前的原有状态”。119 赔偿要求对可在经济上评估的损失(包括物质和精神损害)、社会福利的丧失、实质性损害、精神损害和造成的代价。120 康复包括提供“医疗和心理护理以及法律和社会服务”。121 平反是赔偿和补救的一种多方面要素。在适当的情况下，平反可以涵盖制止侵权行为、宣布真相、恢复尊严、承担责任、纪念或悼念受害者，并确保对责任方实行制裁措施。122 最后，对不再发生的保证涉及了有助于不再发生的措施，这些措施极为密切地关系到结构改革和加强国家机构以及确保充分的民事监督和对人权的适当尊重。123 | 37. The United Nations human rights system follows a more detailed and expansive approach to types of remedies and reparations than the three-pronged approach set out in the draft articles on responsibility of States for internationally wrongful acts. The Basic Principles and Guidelines on the Right to a Remedy and Reparation for Victims of Gross Violations of International Human Rights Law and Serious Violations of International Humanitarian Law 115 (“the Basic Principles and Guidelines”), adopted by the General Assembly in 2005, aim to consolidate rights and best practices for remedies and reparations recognized within the United Nations human rights system.116 The Basic Principles and Guidelines set out five forms of remedy and reparations for violations: restitution, compensation, rehabilitation, satisfaction and guarantees of non-repetition.117 Each of those forms plays a different role in ensuring a holistic and effective remedy, one closely related to the notion of transitional justice.118 Restitution aims to “restore the victim to the original situation before the gross violations of international human rights law or serious violations of international humanitarian law occurred”. 119 Compensation entails payment for economically assessable damage, including physical and mental harm, lost social benefits, material damages, moral damage and costs incurred. 120 Rehabilitation includes the provision of “medical and psychological care as well as legal and social services”. 121 Satisfaction is a wide-ranging element of reparations and remedies. Where appropriate, satisfaction may encompass measures to stop violations, disclose the truth, restore dignity, accept responsibility, commemorate or pay tribute to victims, and ensure sanctions against responsible parties. 122 Lastly, guarantees of non-repetition involve measures that contribute to non-recurrence and are most closely associated with the structural reform and strengthening of State institutions, as well as ensuring sufficient civilian oversight and proper respect for human rights. 123 |
38. 除了概述这五种形式的补救和赔偿外，《基本原则和准则》还探讨了其他几个主题，包括赔偿在促进正义、受害者的适当待遇，以及确保广泛获得关于赔偿机制的信息等方面的作用。《基本原则和准则》现在构成联合国人权制度的一个重要内容。124 同时，《基本原则和准则》无法涵盖联合国人权系统中关于赔偿和补救的全部观点。即使在起草以后用作这些原则指针的背景报告期间，联合国人权系统内的一些行为体也对联合国的其他观点未被充分纳入表示关切，特别是涉及对历史性侵权行为和关于受害者的定义的观点。125 | 38. In addition to outlining those five forms of remedy and reparations, the Basic Principles and Guidelines address several other topics, including the role of reparations in the promotion of justice, the proper treatment of victims, and ensuring widespread access to information on reparations mechanisms. The Basic Principles and Guidelines now constitute an important element of the United Nations human rights system.124 At the same time, the Basic Principles and Guidelines do not capture the full range of views on reparations and remedies in the United Nations human rights system. Even during the drafting of a background report that would inform those principles, some actors within the United Nations human rights system expressed concern over insufficient incorporation of other views of the United Nations, especially on reparations for historical violations and on definitions of victims.125 |
因此，《基本原则和准则》应理解为并非详尽无遗的，包括联合国条约机构在内的相关机构还有可能提出适当、有效和针对具体受害者的赔偿的建议。 | The Basic Principles and Guidelines should therefore be understood as non-exhaustive, and as leaving room for relevant bodies, including United Nations treaty bodies, to suggest appropriate, effective and victim-specific reparations. |
39. 寻求真相、正义、赔偿和保证不再发生问题特别报告员的工作对于了解各国履行赔偿的人权义务的情况而言至关重要。在 2014 年的一份报告中，特别报告员讨论了各国普遍未能确保对严重侵犯人权和人道主义法的行为作出赔偿。126 除其他几个议题外，特别报告员：(a) 强调了对于确保赔偿方案的规模与侵权行为的严重程度具有相称性的义务；127 (b) 解释了为什么综合的(即同时提供个人和集体形式的物质赔偿和象征性措施)赔偿方案可能更适合受害者的需要；128 (c) 阐明了设置得当的赔偿方案所产生的积极后果可能对非受害者产生重要的溢出效应；129(d) 探讨了仅仅对某些侵权行为作出赔偿而不追究其他行为会如何损害到边缘群体，并确保了各国面对作出赔偿的持续呼吁；130 (e) 解释了为什么应将发展方案和赔偿方案分别看待；131 (f) 点评了各国不愿承认侵权行为的情况；132 (g) 质疑了各国关于无法负担起赔偿方案的说法，指出政治制约因素往往比社会经济动态更严重地阻碍着赔偿努力；133 (h) 呼吁国际社会在支持赔偿举措方面具有更大的作用，应作出更积极的反应。134 | 39. The work of the Special Rapporteurs on the promotion of truth, justice, reparation and guarantees of non-recurrence has been critical to understanding implementation by States of their human rights obligations to provide repar ations. In a report from 2014, the Special Rapporteur discussed widespread failures by States to ensure reparations for gross violations of human rights and humanitarian law. 126 Among several other topics, the Special Rapporteur: (a) stressed the obligation to ensure that the magnitude of reparation programmes is commensurate with the gravity of the violations; 127 (b) explained why complex reparation programmes (those providing both individual and collective forms of material reparation and symbolic measures) may better suit the needs of victims; 128 (c) articulated that the positive consequences of well-designed reparation programmes may have important spillover effects for non-victims;129 (d) discussed how providing reparations for certain violations and not others harms marginalized groups and ensures that States will face ongoing calls to make reparations; 130 (e) explained the reason why development and reparation programmes should be viewed as distinct; 131 (f) critiqued State reluctance to acknowledge violations;132 (g) challenged State claims that reparation programmes are unaffordable, noting that political constraints often hinder reparation efforts to a greater degree than socioeconomic development;133 and (h) called on the international community to play a larger role and be more responsive in supporting reparation initiatives. 134 |
40. 寻求真相、正义、赔偿和保证不再发生问题特别报告员在 2016 年的报告中就受害者参与赔偿和过渡司法进程提出了重要意见。他解释了受害者的参与如何能加强实现过渡司法努力的几种方式。135 关于赔偿问题，特别报告员指出，受害者的参与有助于将对于受害者提供的惠益与他们的期望相挂钩。136此外，特别报告员指出，鉴于大型方案不能提供充分补偿，其提供的福利是否充分取决于对整个福利组合的适当性、分配的过程以及赔偿福利与其他补救措施(包括刑事司法、真相和不再发生的保证、由受害者作出的裁决)之间的关系所作的复杂的判断。137 | 40. The Special Rapporteur on the promotion of truth, justice, reparation and guarantees of non-recurrence, in his report of 2016, made important observations on victim participation in reparations and transitional justice processes. He explained several ways in which victim participation strengthens efforts to achieve transitional justice.135 On the topic of reparations, the Special Rapporteur observed that victim participation can help to improve the fit between the benefits available to, and the expectations of, victims.136 In addition, the Special Rapporteur observed that, given that large-scale programmes fall short of full compensation, the adequacy of the benefits they offer depends on complicated judgments concerning the appropriateness of the whole complex of benefits, the process of distribution and the relationship between the reparation benefits and other redress measures, including criminal justice, truth and guarantees of non-recurrence, judgments that are also for the victims to make. 137 |
41. 土著人民权利专家机制 2019 年提交的关于承认、赔偿与和解的报告138 对联合国人权系统理解提供赔偿和以受害者为主角的有效补救措施义务作出了重要贡献。专家机制在报告中详细介绍了世界各地土著人民为实现承认、赔偿与和解所作的大量努力。专家机制还有益地讨论了赔偿与和解的重要但可能带来困难的重叠问题。139 | 41. The report of the Expert Mechanism on the Rights of Indigenous Peoples on recognition, reparation and reconciliation 138 submitted in 2019 is an important contribution to the United Nations human rights system’s understanding of the obligation to provide reparations and effective, victim-centred remedies. In the report, the Expert Mechanism provided details on numerous efforts by indigenous peoples around the world to achieve recognition, reparation and reconciliation. The Expert Mechanism also helpfully discussed the important but potentially challenging overlap of reparation and reconciliation.139 |
五. 对于奴隶制和殖民主义的赔偿：克服障碍 | V. Reparations for slavery and colonialism: overcoming barriers |
42.对种族不公正的赔偿虽然对许多人来说是虚无缥缈的，但在一些情况下确得到了实现。例如，从 1940 年代末开始，德意志联邦共和国(当时被非正式地称为“西德”)开始对纳粹时代的罪行作出补救。140 此后不久，德国对纳粹政权所造成的个人痛苦、生命损失、健康和自由作出了赔偿，以此补充其复原方案。141 到 1950 年代初，德国已经缔结了《卢森堡协定》，在该协定中，德国同意向以色列国支付 30 亿德国马克，并向犹太人对德国提出实质索赔会议支付了 4.5 亿德国马克。142 德国对纳粹政权受害者的总体赔偿非常广泛。除其他方案外，德国还与国民遭受国家社会主义迫害的欧洲国家实施了几项全面协定。143 德国还为纳粹政权使用奴工提供了补偿。144 目前德国向纳粹政权受害者支付的赔偿总额超过 7 665.9 万欧元。145 | 42. Reparations for racial injustice, although elusive for many, are possible and have been achieved in some cases. For example, beginning in the late 1940s, the Federal Republic of Germany (known informally as “West Germany” at the time) commenced restitution for Nazi-era crimes. 140 Soon thereafter, Germany supplemented its restitution programmes with compensation for individual suffering, loss of life, health and liberty inflicted by the Nazi regime. 141 By the early 1950s, Germany had concluded the “Luxembourg Agreement”, in which the country agreed to pay DM 3 billion to the State of Israel and DM 450 million to the Conference on Jewish Material Claims against Germany. 142 The overall compensation by Germany for victims of the Nazi regime has been wide-ranging. Among other programmes, Germany also implemented several comprehensive agreements with European States whose nationals suffered National Socialist persecution. 143 Germany has also provided compensation for the Nazi regime’s use of slave labour. 144 Current total compensation paid by Germany to the victims of the Nazi regime exceeds €76.659 million.145 |
43. 关于殖民主义，2011 年 4 月，茅茅起义运动的退伍军人在联合王国提起诉讼，要求对攻击、殴打和疏忽作出赔偿。索赔人在 1950 年代被联合王国政府关押在拘留营期间遭受酷刑、阉割和性虐待。146在英国殖民政府镇压茅茅起义运动期间，约 150 万肯尼亚人被关押在拘留营中，被限制在村庄里，遭受系统的酷刑和虐待。147 高等法院准许茅茅起义运动提出起诉的权利，允许案件的审理。148政府最终了结了诉讼，并同意向 5 228 名虐待的幸存者支付 1 990 万英镑的损害赔偿金。政府还发表了道歉声明，承认：肯尼亚人受到殖民地政府的酷刑和其他形式的虐待。英国政府对发生了这些虐待行为深表遗憾，这些事件阻碍了肯尼亚走向独立的进程。酷刑和虐待是对人的尊严所作的令人发指的侵犯，我们毫无保留地予以谴责。149 | 43. With regard to colonialism, in April 2011 veterans of the Mau Mau movement filed suit in the United Kingdom, requesting compensation for assault, battery and negligence. The claimants were tortured, castrated and sexually abused while held in detention camps by the Government of the United Kingdom in the 1950s.146 Some 1.5 million Kenyans were held in detention camps and confined to villages and subjected to systematic torture and abuse during the repression of the Mau Mau independence movement by the British colonial Government. 147 The High Court of Justice granted the Mau Mau the right to sue, permitting the case to move forward. 148 The Government ultimately settled the suit and agreed to pay £19.9 million in damages to 5,228 survivors of abuse. The Government also issued an apology, admitting t hat: Kenyans were subject to torture and other forms of ill treatment at the hands of the colonial administration. The British government sincerely regrets that the se abuses took place, and that they marred Kenya’s progress towards independence. Torture and ill treatment are abhorrent violations of human dignity which we unreservedly condemn. 149 |
44. 关于对奴隶制和殖民地不公正作出赔偿的详细建议有许多例子，这里仅举几个例子加以说明。150其中最重要的是加勒比共同体(加共体)2014 年通过的《为正义作出赔偿十点计划》，目的是“为种族灭绝、奴隶制、贩卖奴隶和种族隔离的受害者作出赔偿以伸张正义”。151 《十点计划》以非洲与加共体国家之间以前关于赔偿问题的讨论为指针，而这些讨论始于 1993 年在阿布贾举行的第一次泛非赔偿会议，并持续到 2001 年在德班举行的反对种族主义世界会议。152《十点计划》是加共体为正义作出更广泛赔偿方案的一部分，在该方案中，加共体国家作出行动与前殖民主义欧洲国家进行了接触。加共体赔偿委员会为了解当代的赔偿运动提供了重要背景情况，指出这个问题不仅是历史上的种族不公正，而且还需要解决当代侵犯人权和社会经济剥夺的问题，而奴隶制和殖民主义正是其根源之一。153 | 44. There are numerous examples of detailed proposals for reparations for slavery and colonial injustices, and only a few are highlighted here as illustrations. 150 Among the most significant is the Ten-Point Plan for Reparatory Justice adopted in 2014 by the Caribbean Community (CARICOM), which aims to “achieve reparatory justice for the victims of genocide, slavery, slave trading and racial apartheid”.151 The Ten-Point Plan is informed by the previous discussions between African and CARICOM States on reparations that began in Abuja at the first Pan-African Conference on Reparations in 1993 and continued at the World Conference against Racism held in Durban in 2001.152 The Ten-Point Plan forms part of a broader CARICOM Reparatory Justice Programme, in which CARICOM nations have worked to engage former colonial European nations. The CARICOM Reparations Commission provides important context for understanding contemporary movements for reparations, noting that the issue is not only historic racial injustice, but also the need to address the contemporary human rights violations and socioeconomic deprivation for which slavery and colonialism are among the root causes. 153 |
赔偿面临的政治和法律抵制 | Political and legal resistance to reparations |
45. 在从殖民主义和奴隶制中受益最多的国家中，仍然存在对赔偿殖民主义和奴隶制的严重的政治反对态度。例如，在 2001 年在德班举行的反对种族主义世界会议的筹备阶段和会议期间，某些前殖民大国仍然坚决反对正式就奴隶制和殖民主义道歉，也坚决反对承认迫切需要赔偿。在筹备反对种族主义世界会议的美洲区域会议上，与会国通过了以下强有力的声明，承认：对非洲人及其后裔和美洲土著人民的奴役和其他形式的欺压、及奴隶贸易，应受到道义上的谴责，在某些情况下构成国内法规定的罪行，如果发生在今天，将构成国际法规定的罪行。[并且]这些行为对上述人民造成了巨大和持久的经济、政治和文化伤害，而为了正义，现在需要国家和国际上作出重大的努力来补偿这种损害。这种赔偿应采取政策、方案和措施的形式，由那些从这种做法中获得实质性利益的国家实施，以期补救对受害社区和人民造成的经济、文化和政治损害。154 | 45. Serious political opposition to reparations for colonialism and slavery remains among the countries that benefited the most from both. For example, during both the lead-up to and at the World Conference against Racism held in Durban in 2001, certain former colonial powers remained staunchly resistant to formal apologies for slavery and colonialism, and to any acknowledgment of the pressing need for reparations. At the Regional Conference of the Americas in preparation for the World Conference against Racism, participating States adopted the following strong statement acknowledging that: the enslavement and other forms of servitude of Africans and their descendants and of the indigenous peoples of the Americas, as well as the slave trade, were morally reprehensible, in some cases constituted crimes under domestic law and, if they occurred today, would constitute crimes under international law. [And that] these practices have resulted in substantial and lasting economic, political and cultural damage to these peoples and that justice now requires that substantial national and international efforts be made to repair such damage. Such reparation should be in the form of policies, programmes and measures to be adopted by the States which benefited materially from these practices, and designed to rectify the economic, cultural and political damage which has been inflicted on the affected communities and peoples.154 |
46. 加拿大和美国反对将这一重要段落纳入区域会议报告。155欧洲反对种族主义会议未能充分强调奴隶制和殖民主义持续存在的歧视性余孽，以及对这些历史性不公正进行赔偿的迫切性。156欧洲会议的报告甚至并未提到非洲人或亚洲人后裔。 | 46. Canada and the United States opposed the inclusion of this important paragraph in the report of the Regional Conference.155 The European Conference against Racism failed to sufficiently underscore the persisting discriminatory legacies of slavery and colonialism, and the urgency of reparations for those historical injustices. 156 The report of the European Conference did not even mention peoples of African or Asian descent. |
47. 一些国家对赔偿问题的政治反对立场极为顽固，甚至对这一问题的研究都立法加以被阻。例如，在 1989 年至 2017 年期间，美国国会议员 John Conyers 多次向众议院提出题为“研究和发展向非裔美国人赔偿提案法委员会”的 H.R.40 法案。157 在此期间，国会阻止了该倡议的进展，而该倡议仅试图推进对赔偿问题的理解，甚至没有核准任何实际的赔偿措施。这种对取得赔偿方面知识本身的政治抵制背离了上文讨论的国际人权原则和标准。 | 47. Political opposition to the subject of reparations in some countries is so deep that even attempts to study the issue have been consistently blocked at the legislative level. For example, between 1989 and 2017, United States Congressman John Conyers repeatedly introduced bill H.R. 40, entitled “Commission to Study and Develop Reparation Proposals for African-Americans Act”, to the House of Representatives. 157 During that period Congress blocked the progress of the initiative – which sought only to advance understanding of the issue of reparations, and did not even authorize any actual measures for reparations. That sort of political resistance to the very production of knowledge on reparations is incompatible with the international human rights principles and standards canvassed above. |
48. 对国际法的常规分析，包括前殖民国家所作的分析发现了对奴隶制和殖民主义追索赔偿所面临的若干法律障碍。经发现，一项最突出的法律障碍是国际法中的跨时期原则，该原则以条款形式载列于国家对国际不法行为的责任条款第 13条中。跨时期原则强调，一个国家对违反国际法行为负有责任的唯一情况是，在违反行为发生或其影响延续之时，遭到违反的法律规定对违反规定的国家具有约束力。许多国家援引了国际法适用范围的非追溯性以推卸本国作出赔偿的法律义务。例如，关于德国对纳米比亚 Ovaherero 人和 Nama 人的种族灭绝行为，德国强调了跨时期原则作为解除其对种族灭绝和赔偿承担国际责任的壁垒。158德国未接受它负有作出赔偿的法律义务这一事实，而是辩称其义务是“历史上的”和“道德性的”。159 | 48. Conventional analysis of international law, including by former colonial nations, identifies a number of legal hurdles to the pursuit of claims for reparations for slavery and colonialism. Among the most salient legal hurdles identified is the intertemporal principle in international law, codified in article 13 of the articles on responsibility of States for internationally wrongful acts. The intertemporal principle stresses that a State is responsible for violations of international law only if, at the time of the violation or its continuing effects, the State was bound by the legal provisions it transgressed. Numerous States have appealed to the non-retroactive application of international law to deny that they have a legal obligation to provide reparations. For example, with regard to its genocide of the Ovaherero and Nama peoples of Namibia, Germany has stressed the intertemporal principle as a barrier to its international responsibility for both the genocide and reparations. 158 Rather than accepting that it has a legal obligation to provide reparations, Germany has argued that its obligations are “historical” and “moral”.159 |
49. 首先，对于跨时期原则存在着例外情况，其中包括：(a) 某一行为是持续发生的，并延续到国际法认为该行为系违法行为之时，160 或(b) 不法行为的直接而持续的后果一直延续到该行为及其后果被视为国际性不法行为之时。161这就是说，根植于或由殖民主义和奴隶制造成的种族歧视在每一种被定性为非法之后，都不能受到跨时期的约束。第二，跨时期原则不适用于奴隶制和殖民主义在当今 | 49. First, the intertemporal principle is subject to exception, including when (a) an act is ongoing and continues into a time when international law considered the act a violation,160 or (b) the wrongful act’s direct ongoing consequences extend into a time when the act and its consequences are considered internationally wrongful. 161 That means that racial discrimination rooted in or caused by colonialism and sla very that occurred after each had been outlawed cannot be subject to the intertemporal bar. |
都不能受到跨时期的约束。第二，跨时期原则不适用于奴隶制和殖民主义在当今的种族歧视影响，各国有义务作出补救，包括通过赔偿加以补救。跨时期原则本身不能被称为阻止了对根植于奴隶制和殖民主义事件和体制结构的种族歧视争取赔偿的所有要求。会员国和参与解释和阐明国际法的国际律师必须更加尽力地探索对跨时期原则适用性的例外情况，特别是探索其在夸大对追究种族正义的法律障碍起到一种克服机制的作用。 | Second, the intertemporal principle does not apply to present-day racially discriminatory effects of slavery and colonialism, which States are obligated to remediate, including through reparations. The intertemporal principle cannot be said, per se, to bar all claims for reparations for racial discrimination rooted in the events and structures of slavery and colonialism. Member States, and international lawyers involved in the interpretation and articulation of international law, must do more to explore the application of the intertemporal principle’s exceptions, especially as a mechanism for overcoming overstated legal hurdles to the pursuit of racial justice. |
50. 对于跨时期原则被诠释为阻止了殖民主义和奴隶制的赔偿这一情况，各国必须认识到，规定跨时期原则的同一项国际法长期以来一直是为奴隶制和殖民主义效劳的。如上所述，国际法本身在整个殖民时期为强化种族歧视和从属关系的体制结构发挥了重要作用，包括通过与殖民主义有共同结构背景的习惯国际法。162那么，问题的一个方面就是国际法并没有完全“去殖民地化”，仍然充斥着阻止对植根于殖民时代的不平等和不公正作出赔偿和补救的理论。163 | 50. To the extent that the intertemporal principle is understood to bar reparations for colonialism and slavery, States must recognize that the very same international law that provides for the intertemporal principle has a long history of service to both slavery and colonialism. As mentioned above, international law itself played an important role in consolidating the structures of racial discrimination and subordination throughout the colonial period, including through customary international law, which was co-constitutive with colonialism. 162 Part of the problem, then, is that international law has not fully been “decolonized” and remains replete with doctrines that prevent the reparation and remediation of the inequality and injustice entrenched in the colonial era. 163 |
如果会员国甚至国际律师坚持将跨时代原则用作对种族不公正和不平等进行赔偿和补救的壁垒，他们实际上就是在坚持适用新殖民主义法。法律工作更适当地面对了发展能够确保所有人得到不分种族的平等待遇和承认的国际理论，这在一定程度上就是关于对奴隶制和殖民主义作出赔偿问题的辩论所涉及的利害关系。 | When Member States and even international lawyers insist on the application of the intertemporal principle as a bar to pursuing reparation and remediation of racial injustice and inequality, they are, in effect, insisting on the application of neocolonial law. Legal efforts are more appropriately directed at developing international doctrine that can ensure the equal treatment and recognition of all human beings irrespective of race, and that is, in part, what is at stake in debates on reparations for slavery and colonialism. |
51. 其他法律问题涉及到责任和因果关系方面可能的问题，特别是针对跨大西洋奴隶贸易和殖民主义过后的时期方面。这方面的问题是，确定对令人发指的行为负有责任的个人、受害者的身份、受害者的后代以及所欠的金额都构成了无法克服的法律困难。164个人的、甚至是整个社会阶层要求赔偿的法律诉求所涉及的法律上错综复杂性是确实存在的。然而，这些困难不能成为否认存在基本法律义务的依据。即使司法机构受到相适用法律的约束，但如本报告第二章所述，立法和执行机构却可以不受阻碍地实行法律改革，并采取确保奴隶主和殖民大国获得赔偿的措施。特别报告员的意图是不淡化法律上对赔偿的确定过程存在着实实在在的障碍；相反，她的意图是坚持指出，凭借必要的政治意愿和道德勇气，可以通过法律和政治渠道做更多的工作，争取对殖民主义和奴隶制作出切实的赔偿。 | 51. Other legal concerns involve the difficulties in potential matters of responsibility and causality, especially with regard to the time that has passed since the transatlantic slave trade and colonialism. The concern is that determining the individuals responsible for horrific acts, the identities of the victims, the descendants of the victims and how much is owed poses insurmountable legal difficulties. 164 The legal complexity that would be and is involved in pursuit of individua lly and even class-based legal claims for reparations are genuine. However, such difficulties cannot be the basis for nullifying the existence of underlying legal obligations. Even if judicial bodies are constrained under applicable law, nothing prevents l egislative and executive bodies from reforming the law and taking the sort of measures that ensured that slave owners and colonizing powers received reparations, as discussed in chapter II of the present report. The intention of the Special Rapporteur is not to trivialize the practical hurdles to the legal determination of reparations; her intention is instead to insist that, with the requisite political will and moral courage, much more could be done through legal and political channels to pursue meaningful reparations for colonialism and slavery. |
52. 对 20 世纪后还持续了很多年的殖民主义伤害作出赔偿的一个例子同时也以实例显示了必要的政治意愿、动力和想象力所能够取得的成就。从 19 世纪末到1996 年，加拿大政府运行了印第安人寄宿学校系统，目的是通过剥夺土著儿童的传统、习俗、价值观和语言以同化他们。这一系统包含了“所采用的蓄意的和往往是残忍的策略以破坏家庭和社区的纽带”。165大约三分之一的儿童受到身体、性和情感的虐待。166 20 世纪 90 年代初，以前的学生通过对政府和涉足的教会发起集体诉讼以争取对他们在次系统中遭受的虐待获得补救。第一民族大会的不懈努力终取得成果，其中尤其包括 2006 年的《印第安寄宿学校案和解协议》，这是一项对诉讼的庭外和解协议，牵涉到近 15 000 名过去的学生。协议得到 70 多个缔约方的签署，包括加拿大政府、多数的主要教会以及土著组织和法律顾问。这项集体诉讼和解估计价值约达 50 亿加元，是加拿大数额最大的一宗案例。167 对此所作的赔偿包括承认过去的劣行、提供赔偿、而康复措施包括身心健康服务、法律服务、教育援助并建立了加拿大真相与和解委员会。168参与结案的首席谈判代表解释说，只有在搁置传统上开放的侵权和民法方面法律框架，转用土著法律和法律传统之后，这样的结局才成为可能。169 | 52. An example of reparations for colonial harm that persisted well into the twentieth century offers an example of what can be achieved when the requisite political will, mobilization and creativity is present. From the late 1800s to 1996, the Government of Canada operated the Indian Residential School System with the goal of assimilating indigenous children by stripping them of their traditions, customs, values and languages. As part of the System, “deliberate and often brutal strategies were used to destroy family and community bonds”.165 Approximately one in three children were subjected to physical, sexual and emotional abuse. 166 In the early 1990s, former students sought redress for the abuses they suffered while in the System by launching class-action lawsuits against the Government and the churches involved. The persistent efforts of the Assembly of First Nations, among others, resulted in the Indian Residential Schools Settlement Agreement of 2006, which was an out-of-court settlement of a lawsuit involving almost 15,000 former students. It was signed by more than 70 parties, including the Government of Canada, most major churches, as well as indigenous organizations and legal counsel. With an estimated worth of about Can$ 5 billion, it was the largest class action settlement in Canada.167 Reparations in that context included acknowledgment of past wrongs, compensation, rehabilitative measures including physical and psychological health services, legal services, educational support and the establishment of the Truth and Reconciliation Commission of Canada. 168 The chief negotiator involved in the settlement has explained that it was only made possible by setting aside conventional liberal legal frameworks of tort and civil law in favour of indigenous law and legal traditions. 169 |
达悔恨或遗憾。170各国的态度似乎是出于担心正式道歉可能被解释为承认法律责任，导致无休止的法律索赔和经济赔偿。171这种担忧不仅阻碍了大会通过的《关于侵犯人权和国际人道主义法行为受害者赔偿权利的基本原则和导则》，172而且淡化了在 2001 年世界种族主义问题会议预备期间非洲区域会议和亚洲筹备会议的报告中申明的道歉和赔偿。173当时的欧洲联盟委员会总干事指出，欧洲联盟各国作出谴责和遗憾的声明时力图保证自己不作出具体的承诺。174美国在对《德班宣言》的谈判期间也抵制了作出道歉的呼吁。175 相反，美国表示愿意对历史上的不公正表示遗憾，然后就把视线集中在当前，包括通过发展援助和国家的改革关注当前。176 这一立场与据报告联合王国对于赔偿的立场相似。177 | 53. Several States have refused to issue a formal apology for their roles in slavery and colonialism, instead issuing expressions of remorse or regret. 170 States appear to be driven by concern that formal apologies could be construed as an admission of legal responsibility, generating lengthy legal claims and financial compensation. 171 Such concerns not only put the adoption by the General Assembly of the basic principles and guidelines on the right to a remedy and reparation for victims of violations of international human rights and humanitarian law on hold, 172 but also drove the dilution of the strong calls for apologies and reparations articulated in the reports of the Regional Conference for Africa and the Asian Preparatory Meeting held in 2001 during the lead-up to the World Conference on Racism.173 The then Director General of the European Commission noted that States of the European Union pursued statements of condemnation and regret in an effort to ensure that they remained free of concrete commitments.174 In negotiating the Durban Declaration, the United States also resisted calls for an apology. 175 Instead, it said that it was ready to express regret for historic injustices and then focus on the present, including through development aid and national reforms.176 That position was similar to the reported position of the United Kingdom on reparations. 177 |
54. 发展援助和国家改革在对奴隶制和殖民主义的一整套补偿措施当然可以构成其一个部分。然而，如果提供援助的方式完全否认了当代的问题与其历史渊源之间的联系，则这种行动就不能起到对根植于历史上不公正的种族不平等和歧视性结构的必要功效。同样，这种无视历史和不顾实际背景的发展援助也未能履行针对历史性种族歧视和不公正的当代表现所承担的具体国际人权义务。寻求真相、正义、赔偿和保证不再发生问题特别报告员批评了以非真诚承认对侵权行为责任的方式表达悔恨或遗憾的方式。178非洲人后裔问题专家工作组现任主席记录了从历史角度述说加勒比地区真诚为可持续发展目标努力具有十分的重要性。他的见解也适用于根本上由奴隶制和殖民主义确定其命运的其他地区。他指出，在许多关于加勒比的发展论述中，“从未承认加勒比地区所面临的社会和经济增长滞后而且在[人类发展指数]中非常明显，在体制结构上与该地区的殖民历史存在关联性”。179 | 54. Development aid and national reform can certainly form part of the suite of reparatory measures for slavery and colonialism. However, if pursued in a manner that completely denies the connection between contemporary problems and their historical origins, such initiatives cannot do the necessary work of repairing structures of racial inequality and discrimination rooted in historic injustice. Such ahistorical and uncontextualized development aid similarly fails to fulfil specific international human rights obligations relating to the contemporary manifestations of historic racial discrimination and injustice. The Special Rapporteur on the promotion of truth, justice, reparation and guarantees of non-recurrence has criticized expressions of remorse or regret that lack acknowledgement of responsibility for violations. 178 The current Chair of the Working Group of Experts on People of African Descent has documented the importance of a historicized account of the genuine pursuit of the Sustainable Development Goals in the Caribbean. His insights are applicable to other regions whose destinies were fundamentally shaped by slavery and colonialism. He points out that, in much development discourse regarding the Caribbean, “there is no acknowledgment that the lack of social and economic growth that confront the Caribbean, and which are so visible in the [Human Development Index], are structurally linked to the region’s colonial past”.179 |
六. 关于对殖民主义和奴隶制作出赔偿的建议 | VI. Recommendations for reparations for colonialism and slavery |
55. 确保在《德班宣言和行动纲领》中所作承诺带来的势头：《德班宣言和行动纲领》在阐明殖民主义和奴隶制的危害方面仍然是一个对历史和当今有深刻影响的里程碑，并意义深远地注重迄今仍需要紧急关注的种族主义和种族歧视的结构性形式。会员国必须确保在德班所作承诺的势头。 | 55. Ensure the momentum of the commitments made in the Durban Declaration and Programme of Action: The Durban Declaration and Programme of Action remain a profound milestone in articulating the harms of colonialism and slavery, both historically and in the present, with an important emphasis on the structural forms of racism and racial discrimination that to this day require urgent attention. Member States must ensure momentum in the implementation of the commitments made in Durban. |
56. 充分履行国际人权的法律义务，对种族歧视性质的侵犯人权行为作出赔偿：会员国应充分履行国际人权的法律义务，对种族歧视性的侵犯人权行为作出赔偿。各国还应确保批准和充分执行《消除一切形式种族歧视国际公约》。 | 56. Fully implement international human rights legal obligations to provide reparations for racially discriminatory violations of human rights: Member States should fully implement international human rights legal obligations to provide reparations for racially discriminatory violations of human rights. States should also ensure the ratification and full implementation of the International Convention on the Elimination of All Forms of Racial Discrimination. |
57. 对赔偿采取结构性的全面的方式：会员国对赔偿所采取的办法不仅应能正视历史上个人和群体的劣行，而且还要考虑到植根于奴隶制和殖民主义的种族不平等、歧视和从属的顽固的体制结构。为作出赔偿，需要追究责任、包括改造和恢复那些被奴隶制和殖民主义从根本上扭曲的结构和关系，即维系着当代种族不平等、歧视和从属关系的结构和关系。各国还应对赔偿采取综合办法，根据各自的背景选择采行本报告确定的各种形式。全面的方法需要以兼顾性别、阶级、残疾状况和其他社会阶层的途径对理解和打击种族歧视采取交叉方法。还需要对侵犯社会经济权利以及公民和政治权利行为作出赔偿。 | 57. Adopt a structural and comprehensive approach to reparations: Member States should adopt an approach to reparations that accounts for not only historical individual and group wrongs, but also the persisting structures of racial inequality, discrimination and subordination that have slavery and colonialism as their root causes. Reparations entail accountability, including the transformation and rehabilitation of those structures and relations fundamentally distorted by slavery and colonialism, and that sustain contemporary racial inequality, discrimination and subordination. States should also adopt a comprehensive approach to reparations, pursuing the range of forms identified in the present report according to the respective context. A comprehensive approach entails an intersectional approach to understanding and fighting racial discrimination by accounting for gender, class, disability status and other social categories. It also entails reparations for violations of socioeconomic rights as well as civil and political rights. |
58. 对国际和国家的赔偿方式实行去殖民化：会员国应对适用于奴隶制和殖民主义赔偿方面的法律进行去殖民化。换言之，各国应在必要时改革现行法律，使之适合于消除历史种族歧视和不公正的余孽，包括咨询土著的和其他的价值观念和法律制度以引导这一进程。国际律师和法官必须为确保对所适用的法律理论实行去殖民化出力。 | 58. Decolonize international and national approaches to reparations: Member States should decolonize the very laws applicable to reparations for slavery and colonialism. In other words, States should reform existing laws where necessary to make them fit for the purposes of undoing the legacies of historical racial discrimination and injustice, including by looking to indigenous and other value and legal systems to inform the process. International lawyers and judges must play their parts to ensure the decolonization of the applicable legal doctrines. |
59. 对赔偿采取以幸存者和受害者为主角的赔偿办法：会员国必须将殖民主义和奴隶制带来的历史的和当代的种族不公正的受害者和幸存者(并酌情包括后代)置于争取赔偿进程的中心。除非这些群体在决策桌上占有举足轻重的席位，否则就无法实现赔偿。 | 59. Adopt a survivor- and victim-centred approach to reparations: Member States must place victims and survivors (including descendants where appropriate) of the historic and contemporary racial injustice associated with colonialism and slavery at the centre of processes designed to achieve reparations. Reparations cannot be achieved unless those groups have a meaningful seat at the decision-making table. |
60. 采取教育措施，确保国家和国际各级认识到植根于奴隶制和殖民主义种族歧视的规模、范围和当代余孽：对赔偿的一个严重障碍是公众的无知，甚至国家领导人对奴隶制和殖民主义持续影响的种族歧视余孽也缺乏认识。在许多国家，教育课程包含的历史不全面，抹去了奴隶制和殖民统治在确保实行奴役和殖民的大国过去和现在的繁荣方面所起的基本作用。这些历史有时可能会提到过去殖民主义和奴隶制的残暴，但很少明确指出奴隶制和殖民主义的公共和私人受益者。会员国必须采取紧迫措施，确保指出并明确说明奴隶制、殖民主义及其当代余孽，包括在其教育系统中加以指明。确保历史和政治认识，特别是奴隶制和殖民主义的当代受益者的历史和政治意识，是形成必要的政治意愿，实现赔偿的重要步骤。对目前作脱离历史的理解所起的作用是对实现赔偿的障碍。 | 60. Pursue educational measures to ensure national and international consciousness of the scale, scope and contemporary legacies of racial discrimination, rooted slavery and colonialism: A serious barrier to reparations is ignorance and the lack of awareness among the public and even among national leaders regarding the persisting racially discriminatory legacies of slavery and colonialism. In many countries, educational curricula include partial histories that erase the fundamental role that enslavement and colonial domination played in securing the past and present prosperity of enslaving and colonial powers. Those histories may sometimes refer to the past brutalities of colonialism and slavery, but very rarely do they make explicit the public and private beneficiaries of slavery and colonialism. Member States must take urgent steps to ensure representative and accurate accounts of slavery, colonialism and their contemporary legacies, including in their education systems. Ensuring historical and political consciousness, especially among contemporary beneficiaries of slavery and colonialism, is an important step towards building the requisite political will to make reparations a reality. Ahistorical understandings of the present operate as a barrier to achieving reparations. |
61. 为持续研究实现赔偿的国际行动向前推进的途径而创建一个资金充足的全球平台：奴隶制和殖民主义是全球性的计划，针对两者的赔偿都需要全球性的行动。会员国应创建一个专门用于认真审议对奴隶制和殖民主义作出赔偿问题的平台，并提供必要的资源，以确保该平台的成功。 | 61. Create a well-funded global platform for the sustained study of paths forward for international action to achieve reparations: Slavery and colonialism were global projects, and reparations for both require global intervention. Member States should create a platform devoted to the serious consideration of reparations for slavery and colonialism and provide the requisite resources to ensure the success of that platform. |
62. 非国家行为体要采取的举措：赔偿需要非国家行为体的参与和主动行动，其中特别包括直接或间接地从奴隶制和殖民主义获益的教会、大学、金融机构和其他企业。例如，在 2016 年，成立于 1451 年的格拉斯哥大学委托进行了一项研究，以调查它从历史上的奴隶制中获得的经济利益。180 大学本身从未拥有过奴隶，实际上也支持废除奴隶制，但它从奴役制度的利润中获得了可观的捐赠和捐款。181 与该大学最终发表的报告相关的为正义作出赔偿方案侧重于增加大学学生群体中和工作人员中的种族多样性，缩小苏格兰社会在教育成就方面的差距，并与西印度群岛大学建立教育伙伴关系。182 加拿大联合教会和联合基督教会已经采取步骤，为其在根植于历史性不公正的种族从属关系中所扮演的角色提供赔偿，而圣公会也在努力正视其在同一问题上的同谋角色。 | 62. Initiatives by non-State actors: Reparations require the participation and initiative of non-State actors, especially, for example, churches, universities, financial institutions and other corporations that benefited directly or indirectly from slavery and colonialism. For example, in 2016, the University of Glasgow, which was founded in 1451, commissioned a study to investigate the financial benefits it received from historical slavery.180 The University itself never owned slaves and indeed supported abolition, but received sizeable donations and contributions derived from the profits of enslavement. 181 The reparative justice programme associated with the report the University eventually published focuses on increasing the racial diversity of the student body and the staff at the University, reducing educational attainment gaps in Scottish society and building educational partnerships with the University of the West Indies. 182 The United Church of Canada and the United Church of Christ have taken steps to provide reparations for its role in racial subordination rooted in historic injustice, and the Episcopal Church has worked to confront its complicity in the same. |
联合国 A/RES/76/293 | United Nations A/RES/76/293 |
大 会 Distr.: General | General Assembly Distr.: General |
7 July 2022(C) 070722 070722 | 7 July 2022 |
(C) 070722 070722 | 22-10355 (E) 070722 |
*2210355* | *2210355* |
第七十六届会议议程项目 166 | Seventy-sixth session |
第七十六届会议议程项目 166 | Agenda item 166 |
安全理事会第 1863(2009)号决议引起的活动经费的筹措 | Financing of the activities arising from Security Council resolution 1863 (2009) |
2022 年 6 月 29 日大会决议[根据第五委员会的报告(A/76/884，第 6 段)通过] | Resolution adopted by the General Assembly on 29 June 2022 [on the report of the Fifth Committee (A/76/884, para. 6)] |
76/293. 安全理事会第 1863(2009)号决议引起的活动经费的筹措 | 76/293. Financing of the activities arising from Security Council resolution 1863 (2009) |
审议了秘书长关于联合国索马里支助办公室经费筹措的报告1 以及行政和预算问题咨询委员会的相关报告，2 | The General Assembly, Having considered the reports of the Secretary-General on the financing of the United Nations Support Office in Somalia 1 and the related report of the Advisory Committee on Administrative and Budgetary Questions, 2 |
回顾安全理事会 2009 年 1 月 16 日第 1863(2009)号决议，其中安理会表示打算在索马里设立一个联合国维持和平行动，作为非洲联盟驻索马里特派团的接替部队，但须安理会至迟于 2009 年 6 月 1 日作出进一步决定，并请秘书长为便于非洲联盟驻索马里特派团部队并入联合国维持和平行动，向该特派团提供一揽子联合国后勤支助，包括提供设备与服务， | Recalling Security Council resolution 1863 (2009) of 16 January 2009, in which the Council expressed its intent to establish a United Nations peacekeeping operation in Somalia as a follow-on force to the African Union Mission in Somalia, subject to a further decision of the Council by 1 June 2009, and requested the Secretary-General, in order for the forces of the Mission to be incorporated into a United Nations peacekeeping operation, to provide a United Nations logistical support package to the Mission, including equipment and services, |
又回顾安全理事会其后延长给该特派团的一揽子后勤支助的各项决议，最近的是 2022 年 3 月 31 日第 2628(2022)号决议，其中安理会将一揽子后勤支助延长至 2023 年 3 月 31 日， | Recalling also the subsequent resolutions of the Security Council by which the logistical support package for the Mission was extended, the latest of which was resolution 2628 (2022) of 31 March 2022, by which the Council extended the logistical support package until 31 March 2023, |
还回顾其 2009 年 4 月 7 日关于安全理事会第 1863(2009)号决议所引起活动经费筹措的第 63/275 A 号决议及其后各项有关决议，最近的是 2021 年 6 月 30 日第 75/306 号决议， | Recalling further its resolution 63/275 A of 7 April 2009 on the financing of the activities arising from Security Council resolution 1863 (2009) and its subsequent resolutions thereon, the latest of which was resolution 75/306 of 30 June 2021, |
安全理事会第 1863(2009)号决议引起的活动经费的筹措 | 2/3 22-10355 |
重申其 1963 年 6 月 27 日第 1874(S-IV)号、1973 年 12 月 11 日第 3101(XXVIII)号和 2000 年 12 月 23 日第 55/235 号决议阐述的联合国维持和平行动经费筹措一般原则， | Reaffirming the general principles underlying the financing of United Nations peacekeeping operations, as stated in its resolutions 1874 (S-IV) of 27 June 1963, 3101 (XXVIII) of 11 December 1973 and 55/235 of 23 December 2000, |
赞赏地注意到已向联合国支助非洲联盟驻索马里特派团信托基金提供的自愿捐助， | Noting with appreciation that voluntary contributions have been made to the United Nations trust fund in support of the African Union Mission in Somalia, |
1. 表示注意到联合国索马里支助办公室截至 2022 年 4 月 30 日的摊款缴纳情况，包括未缴摊款共计 2.588 亿美元，约占摊款总数的 4.1%，关切地注意到只有 60 个会员国已足额缴纳摊款，并敦促所有其他会员国，尤其是拖欠国，确保缴纳未缴摊款； | 1. Takes note of the status of contributions to the United Nations Support Office in Somalia as at 30 April 2022, including the contributions outstanding in the amount of 258.8 million United States dollars, representing some 4.1 per cent of the total assessed contributions, notes with concern that only 60 Member States have paid their assessed contributions in full, and urges all other Member States, in particular those in arrears, to ensure payment of their outstanding assessed contributions; |
2. 认可行政和预算问题咨询委员会报告所载结论和建议，但以符合本决议的规定为前提，并请秘书长确保予以充分落实； | 2. Endorses the conclusions and recommendations contained in the report of the Advisory Committee on Administrative and Budgetary Questions, subject to the provisions of the present resolution, and requests the Secretary-General to ensure their full implementation; |
3. 决定裁撤空缺时间已达或已超过 24 个月的 2 个员额：1 个财务和预算助理员额(本国一般事务人员)和 1 个集中仓储科行政助理员额(本国一般事务人员)； | 3. Decides to abolish two posts that have been vacant for 24 months or longer: one Finance and Budget Assistant (national General Service) and one Administrative Assistant in the Centralized Warehousing Section (national General Service); |
4. 请秘书长确保充分执行其 2005 年 6 月 22 日第 59/296 号、2006 年 6 月30 日第 60/266 号、2007 年 6 月 29 日第 61/276 号、2010 年 6 月 24 日第 64/269号、2011 年 6 月 30 日第 65/289 号、2012 年 6 月 21 日第 66/264 号、2015 年 6 月25 日第 69/307 号、2016 年 6 月 17 日第 70/286 号和 2022 年 6 月 29 日第 76/274号决议以及其他有关决议的相关规定； | 4. Requests the Secretary-General to ensure the full implementation of the relevant provisions of its resolutions 59/296 of 22 June 2005, 60/266 of 30 June 2006, 61/276 of 29 June 2007, 64/269 of 24 June 2010, 65/289 of 30 June 2011, 66/264 of 21 June 2012, 69/307 of 25 June 2015, 70/286 of 17 June 2016 and 76/274 of 29 June 2022, as well as other relevant resolutions; |
2020 年 7 月 1 日至 2021 年 6 月 30 日期间预算执行情况报告 | Budget performance report for the period from 1 July 2020 to 30 June 2021 |
5. 表示注意到秘书长关于联索支助办 2020 年 7 月 1 日至 2021 年 6 月 30日期间预算执行情况的报告；3 | 5. Takes note of the report of the Secretary-General on the budget performance of the Support Office for the period from 1 July 2020 to 30 June 2021; 3 |
2022 年 7 月 1 日至 2023 年 6 月 30 日期间的预算估计数 | Budget estimates for the period from 1 July 2022 to 30 June 2023 |
6. 决定批款 563 205 000 美元给联合国索马里支助办公室特别账户，充作其 2022 年 7 月 1 日至 2023 年 6 月 30 日期间的经费，其中包括给联索支助办的维持费 521 696 700 美元、给维持和平行动支助账户的 31 870 600 美元、给意大利布林迪西联合国后勤基地的 5 738 000 美元和给乌干达恩德培区域服务中心的3 899 700 美元； | 6. Decides to appropriate to the special account for the United Nations Support Office in Somalia the amount of 563,205,000 dollars for the period from 1 July 2022 to 30 June 2023, inclusive of 521,696,700 dollars for the maintenance of the Support Office, 31,870,600 dollars for the support account for peacekeeping operations, 5,738,000 dollars for the United Nations Logistics Base at Brindisi, Italy, and 3,899,700 dollars for the Regional Service Centre in Entebbe, Uganda; |
2022 年 7 月 1 日至 2023 年 6 月 30 日期间批款的筹措 | Financing of the appropriation for the period from 1 July 2022 to 30 June 2023 |
7. 决定考虑到其 2021 年 12 月 24 日第 76/238 号决议规定的 2022 年和2023 年分摊比额表，由会员国按照大会 2021 年 12 月 24 日第 76/239 号决议更新的缴款等级分摊 422 403 750 美元，充作 2022 年 7 月 1 日至 2023 年 3 月 31 日期间的经费； | 7. Decides to apportion among Member States the amount of 422,403,750 dollars for the period from 1 July 2022 to 31 March 2023, in accordance with the levels updated in its resolution 76/239 of 24 December 2021, taking into account the scale of assessments for 2022 and 2023, as set out in its resolution 76/238 of 24 December 2021; |
8. 又决定根据其 1955 年 12 月 15 日第 973(X)号决议的规定，从上文第 7段规定的会员国摊款中减除会员国在衡平征税基金内 8 770 875 美元中各自应分安全理事会第 1863(2009)号决议引起的活动经费的筹措 A/RES/76/293的数额，基金内的这笔款项包括核定给联索支助办的工作人员薪金税收入估计数6 016 500 美元，核定给支助账户的工作人员薪金税收入估计数中按比例应分的数额 1 928 250 美元，核定给联合国后勤基地的工作人员薪金税收入估计数中按比例应分的数额 500 100 美元以及核定给区域服务中心的工作人员薪金税收入估计数中按比例应分的数额 326 025 美元； | 8. Also decides that, in accordance with the provisions of its resolution 973 (X) of 15 December 1955, there shall be set off against the apportionment among Member States, as provided for in paragraph 7 above, their respective share in the Tax Equalization Fund of 8,770,875 dollars, comprising the estimated staff assessment income of 6,016,500 dollars approved for the Support Office, the prorated share of 22-10355 3/3 1,928,250 dollars of the estimated staff assessment income approved for the support account, the prorated share of 500,100 dollars of the estimated staff assessment income approved for the United Nations Logistics Base and the prorated share of 326,025 dollars of the estimated staff assessment income approved for the Regional Service Centre; |
9. 还决定由会员国按照第 76/239 号决议更新的缴款等级并考虑到第 76/238号决议规定的 2023 年分摊比额表分摊 140 801 250 美元，即每月 46 933 750 美元，充作 2023 年 4 月 1 日至 6 月 30 日期间的经费，但以安全理事会决定延长联索支助办的任务期限为前提； | 9. Further decides to apportion among Member States the amount of 140,801,250 dollars for the period from 1 April to 30 June 2023, at a monthly rate of 46,933,750 dollars, in accordance with the levels updated in its resolution 76/239, taking into account the scale of assessments for 2023, as set out in its resolution 76/238, subject to a decision of the Security Council to extend the mandate of the Support Office; |
10. 决定根据其第 973(X)号决议的规定，从上文第 9 段规定的会员国摊款中减除会员国在衡平征税基金内 2 923 625 美元中各自应分的数额，基金内的这笔款项包括核定给联索支助办的工作人员薪金税收入估计数 2 005 500 美元，核定给支助账户的工作人员薪金税收入估计数中按比例应分的数额 642 750 美元，核定给联合国后勤基地的工作人员薪金税收入估计数中按比例应分的数额 166 700 美元以及核定给区域服务中心的工作人员薪金税收入估计数中按比例应分的数额 108 675 美元； | 10. Decides that, in accordance with the provisions of its resolution 973 (X), there shall be set off against the apportionment among Member States, as provided for in paragraph 9 above, their respective share in the Tax Equalization Fund of 2,923,625 dollars, comprising the estimated staff assessment income of 2,005,500 dollars approved for the Support Office, the prorated share of 642,750 dollars of the estimated staff assessment income approved for the support account, the prorated share of 166,700 dollars of the estimated staff assessment income approved for the United Nations Logistics Base and the prorated share of 108,675 dollars of the estimated staff assessment income approved for the Regional Service Centre; |
11. 又决定对于已经履行对联索支助办财政义务的会员国，应考虑到大会2018 年 12 月 22 日第 73/271 号决议规定的 2021 年分摊比额表，按照 2018 年 12月 22 日第 73/272 号决议更新的缴款等级，从上文第 7 和 9 段规定的摊款中减除2021 年 6 月 30 日终了财政期间未支配余额和其他收入共计 41 851 700 美元中各自应分的数额； | 11. Also decides that, for Member States that have fulfilled their financial obligations to the Support Office, there shall be set off against their apportionment, as provided for in paragraphs 7 and 9 above, their respective share of the unencumbered balance and other revenue in the amount of 41,851,700 dollars in respect of the financial period ended 30 June 2021, in accordance with the levels updated in its resolution 73/272 of 22 December 2018, taking into account the scale of assessments for 2021, as set out in its resolution 73/271 of 22 December 2018; |
12. 还决定对于尚未履行对联索支助办财政义务的会员国，应按照上文第 11段规定的办法，从其所欠款项中减除 2021 年 6 月 30 日终了财政期间未支配余额和其他收入共计 41 851 700 美元中各自应分的数额； | 12. Further decides that, for Member States that have not fulfilled their financial obligations to the Support Office, there shall be set off against their outstanding obligations their respective share of the unencumbered balance and other revenue in the amount of 41,851,700 dollars in respect of the financial period ended 30 June 2021, in accordance with the scheme set out in paragraph 11 above; |
13. 决定上文第 11 和 12 段提及的 41 851 700 美元贷项应加上 2021 年 6 月 30日终了财政期间工作人员薪金税收入估计数增加额 503 700 美元； | 13. Decides that the increase of 503,700 dollars in the estimated staff assessment income in respect of the financial period ended 30 June 2021 shall be added to the credits in the amount of 41,851,700 dollars referred to in paragraphs 11 and 12 above; |
14. 邀请向联合国支助非洲联盟驻索马里特派团信托基金提供自愿捐助； | 14. Invites voluntary contributions to the United Nations trust fund in support of the African Union Mission in Somalia; |
15. 决定将题为“安全理事会第 1863(2009)号决议引起的活动经费的筹措”的项目列入大会第七十七届会议临时议程。 | 15. Decides to include in the provisional agenda of its seventy-seventh session the item entitled “Financing of the activities arising from Security Council resolution 1863 (2009)”. |
联合国 A/RES/74/94 | United Nations A/RES/74/94 |
大 会 Distr.: General | General Assembly Distr.: General |
26 December 2019(C) 311219 100120 | 26 December 2019 |
(C) 311219 100120 | 19-21908 (E) 080120 |
Subsets and Splits