1. The Legal Nature of ius cogens
5 Rules of international law are generally ius dispositivum. This means that States are generally free to contract out of the rules and to establish particular rules as between themselves without affecting the general legal regime. The concept of ius cogens presupposes the existence of a certain class of norms that, because of their character, are not susceptible to derogation and may thus not be contracted out, not even by agreement by States.
6 There are two main competing theories that explain the nature of ius cogens. At one end of the spectrum is the positivist philosophy (Legal Positivism), which posits that ius cogens in international law is merely an expression of the consensual theory of law and, as such, that the rules of ius cogens are arrived at in ways similar to other rules of international law, namely through the agreement and conduct of States. At the other end of the spectrum, ius cogens is seen as an expression of natural law (Natural Law and Justice), whose norms exist independent of the will of States and are based on particular immutable rules.
7 Writings on ius cogens in international law, particularly early on, were based overwhelmingly on natural law philosophy, the basic idea of natural law being that beyond positive law—law made through the agreement and practice of States—there is a higher set of norms against which positive law is to be judged. While there are various strands of natural law, at its core natural law espouses morality as its source and therefore the source of ius cogens. This understanding of ius cogens was the dominant approach until the adoption of the Vienna Convention on the Law of Treaties (1969) (‘VCLT’), which opened up the possibility for a more positivist approach to ius cogens. Article 53 VCLT provides that a ius cogens norm is a norm accepted and recognized by the international community of States as a whole as one from which no derogation is permitted and which can be modified only by a subsequent norm of general international law having the same character. The reference to ‘acceptance and recognition’ by the ‘international community of States as a whole’ suggests a more positivist leaning (emphasis added). There are of course other theories to explain the nature of ius cogens, but for the most part these other theories are variations of the positivist/natural law debate.
8 There is support for both approaches in the jurisprudence of international courts and tribunals, including individual opinions of judges. The Inter-American Court of Human Rights (IACtHR) seemed to adopt a natural law approach when, for example, it juxtaposed ‘the voluntarist conception of international law’ with ‘the ideal of construction of an international community with greater cohesion … in the light of Law and in search of Justice’, with the latter reflecting a move ‘from jus dispositivum to jus cogens’ (Constantine et al v Trinidad and Tobago [2001] para. 38). Yet that same court has, in other decisions, seemingly based its determination of the ius cogens status of a rule, in part, on ‘international agreement’ (Osorio Rivera and Family Members v Peru [2013] para. 112).
9 The first report of the Special Rapporteur on ius cogens (UN ILC Special Rapporteur D Tladi ‘First Report on jus cogens’ [2016]) suggested that the positivist and natural law approaches to ius cogens can co-exist. There, it is suggested that the binding and peremptory force of ius cogens is best understood as an interaction between natural law (non-consensualism) and positivism (consensualism), with natural law providing the underlying reason for the peremptory character of the norm, while positivism provides that manifestation of the binding force in an objective fashion (para. 59).
2. Historical Evolution
10 The first appearance of the term ius cogens is in the Roman Emperor Justinian’s Digest. However, there it was used in a different context (see D.39.5.29pr [Digest of Justinian]). Nonetheless, Roman Law did recognize something akin to ius cogens. In several passages in the Digest, there appears the observation that ‘Ius publicum privatorum pactis mutari non potest’, ‘private pacts cannot derogate from public law’, with ius publicum denoting all those rules from which individuals may not depart by separate agreements (D.2.14.38; see also D.11.7.20). The Codex also states ‘Pacta, quae contra leges constitutionesque vel contra bonos mores fiunt, nullam vim habere indubitati iuris est’, which means ‘agreements contrary to laws or constitutions, or contrary to good morals, have no force’ (Codex 2.3.6).
11 In the context of international law, the idea that there are some rules of international law that apply independent of the will of States can be traced back to writers such as Hugo Grotius, Emer de Vattel, and Christian Wolff (Natural Law and Justice). Grotius’s famous De Jure Belli ac Pacis contains many references to immutable law (H Grotius De Jure Belli ac Pacis Libri Tres [orig 1646] FW Kelsey (tr) [Clarendon Press Oxford 1925]). As described above, much of this early work is based on natural law as the source of the immutable, which cannot be changed by States through agreement or practice. Yet, in the 19th century, with the rise of the positivist law approach to international law, sovereignty and the will of States became the dominant theory to understanding international law and its binding force. However, in the era of the dominance of positivism, international lawyers did not generally subscribe to complete freedom of the will of States in international law. Several international lawyers of the time wrote about the limits to the will of States but, by and large, sought to explain this limit by positive law, including existing treaties. The prohibition of slavery and the slave trade provided the most common example of rules restricting the freedom of States in international lawmaking.
12 The period after World War I saw a resurgence of the idea of non-derogable rules, including, for example, Art. 20 Covenant of the League of Nations (1919) (League of Nations), which purported to abrogate previously concluded agreements inconsistent with the Covenant and prohibited the conclusion of agreements inconsistent with it (History of International Law, World War I to World War II). While Art. 20, being a treaty rule applicable to parties to the treaty, was by no means ius cogens, it had an influence on the development of the concept. In this period, ius cogens was also invoked in judicial and arbitral decisions. For example, in a separate opinion in the Oscar Chinn Case (1934), Judge Schücking famously invoked ius cogens when determining that a treaty provision was invalid on account of inconsistency with the General Act of Berlin. Ius cogens was also explicitly invoked under the French-Mexican Claims Commission (Mexican Claims Commissions), in the Pablo Nájera (of the Lebanon) Case (1928), in which the Tribunal interpreted Art. 18 Covenant of the League of Nations as a rule having ‘le caractère d’une règle de droit à laquelle il n’est pas libre aux Etats, membres de la Société des Nations, de déroger par des stipulations particulières, entre eux (jus cogens)’ (at 470) (‘the character of a rule of law from which States, members of the League of Nations, are not free, as between themselves, to derogate from by particular rules’ [translation by the author]).
13 The most significant period for the development of the concept of ius cogens came in the period after World War II (History of International Law, since World War II). Not only did this period, in response to World War II violations, lead to the affirmation of norms that are generally accepted today as ius cogens, such as the prohibition on the use of force (Use of Force, Prohibition of), the prohibition of genocide and the prohibition of crimes against humanity, but it was also in this period that the ILC introduced into the mainstream of international law the concept of ius cogens.
14 The first introduction of the notion of the invalidity of treaties on account of inconsistency with the content of a rule of international law appeared in the Fourth Report on the Law of Treaties topic, namely in Sir Hersch Lauterpacht’s First Report (ILC Special Rapporteur H Lauterpacht ‘Report on the Law of Treaties’ [1953]). Lauterpacht proposed that a treaty would be void ‘if its performance involves an act which is illegal under international law’ (Art. 15). For Lauterpacht the test for illegality ‘is not inconsistency with customary international law pure and simple’, but rather ‘inconsistency with such overriding principles of international law which may be regarded as constituting principles of international public policy (ordre international public)’ (Comment to Art. 15 at 155). However, it was in the third report of Sir Gerald Fitzmaurice—the eighth report on the law of treaties overall—that the term ‘ius cogens’ first appeared (ILC Special Rapporteur G Fitzmaurice ‘Third Report on the Law of Treaties’ [1958]). Fitzmaurice proposed that for a treaty to be valid ‘it should be in conformity with or not contravene, or that its execution should not involve an infraction of those principles and rules of international law which are in the nature of jus cogens’ (Art. 16 at 26). In general, the text recognized that States may always, inter se, depart from ius dispositivum rules of international law by means of an inter se agreement, but that this right only applied if the general rule in question was not one in the nature of ius cogens. Following on from Fitzmaurice, Sir Humphrey Waldock, the last Special Rapporteur on the topic, proposed that a treaty ‘is contrary to international law and void if its object or its execution involves the infringement of a general rule or principle of international law having the character of jus cogens’ (ILC Special Rapporteur H Waldock ‘Second Report on the Law of Treaties’ [1963] Art. 13 (1) at 52). The final text adopted by the Commission on the basis of these proposals read as follows:
15 While at the time there was very little support of the idea of ius cogens in practice—it was a concept with little pedigree outside of scholarship—the idea that a treaty is void if it is inconsistent with fundamental rules of international law was generally welcomed within and beyond the Commission. Even France, which is held up as an example of a long-standing opponent of ius cogens, did not actually oppose the concept but pointed to dangers in its application. France, for example, declared at the Vienna Conference that
France was rather concerned not with the concept but with the possibility of unilateral invocation of ius cogens and the consequences that that might have for the stability of treaty relations.
16 At the Vienna Conference, after extensive deliberations, Art. 53 VCLT, which ushered in ius cogens from the periphery of international law scholarship to the centre of international law, was adopted. It provided:
17 In addition to Art. 53, the VCLT also provides for the emergence of ius cogens norms subsequent to the adoption of a treaty (ius cogens superveniens), and provides that in such instances a treaty in conflict with the ius cogens norm will become invalid (Art. 64 VCLT). To account for the French concerns of unilateral invocation, the VCLT provides for compulsory jurisdiction of the International Court of Justice (ICJ) in the event of the invocation of ius cogens to invalidate a treaty provision (Art. 66 (a) VCLT; Compulsory Jurisdiction: Inter-State Litigation).
18 But the ILC’s work on the law of treaties, and the subsequent inclusion of Art. 53 and other related provisions, did not mark the end of the evolution of ius cogens. As already noted, in 2022, the Commission adopted the Conclusions on Peremptory Norms of General International Law. Between the Commission’s first pronouncement on ius cogens in 1966 and its most recent pronouncement in 2022, the ILC addressed issues pertaining to ius cogens in several of its works which further contributed to its development. This is the case, for example, with the 2001 Articles on Responsibility of States for Internationally Wrongful Acts (‘ARSIWA’) (State Responsibility), the Fragmentation Study (ILC ‘Fragmentation of International Law: Difficulties Arising from the Diversification and Expansion of International Law’ [2006]; Fragmentation of International Law), and the Guiding Principles Applicable to Unilateral Declarations of States Capable of Creating Legal Obligations (2006) (Unilateral Acts of States in International Law). Along the way, there were also important decisions of international courts and tribunals impacting on the development of ius cogens. Examples from the ICJ include the Barcelona Traction Case, where the Court established the notion of obligations erga omnes in international law, a notion that has been instrumental in the development of the notion of ius cogens (Obligations erga omnes).