DISSENTING OPINION OF JUDGE XUE
1. Much to my regret, I am unable to join the majority in finding the declarations of intervention admissible at this preliminary objections stage. The questions of jurisdiction and admissibility fall within the domain of judicial functions of the Court. It is for the Court to decide whether or not it has jurisdiction in the case. Moreover, in dealing with such a massive number of declarant States, the Court should, in my view, be mindful of the principle of equality of the parties to ensure good administration of justice. This is imperative for the present case as well as for the judicial practice of the Court in general. As obliged by the Statute, I shall explain the reasons for my position.
I. THE SCOPE OF ARTICLE 63
2. Article 63 of the Statute reads as follows:
“1. Whenever the construction of a convention to which States other than those concerned in the case are parties is in question, the Registrar shall notify all such States forthwith.
2. Every State so notified has the right to intervene in the proceedings; but if it uses this right, the construction given by the judgment will be equally binding upon it.”
3. Article 82 of the Rules of Court further lays down detailed conditions concerning the submission of a declaration of intervention under Article 63 of the Statute. In the present case, I agree with the majority that all the declarations except for the one submitted by the United States have met these conditions. Notwithstanding that finding, the Court must ascertain whether, in the circumstances of the case, the object of each declaration is in fact the interpretation of the relevant convention and therefore constitutes “a genuine intervention” (Haya de la Torre (Colombia v. Peru), Judgment, I.C.J. Reports 1951, p. 77). As the Court stated in the Whaling case, “intervention under Article 63 of the Statute is limited to submitting observations on the construction of the convention in question and does not allow the intervenor, which does not become a party to the proceedings, to deal with any other aspect of the case before the Court” (Whaling in the Antarctic (Australia v. Japan), Declaration of Intervention of New Zealand, Order of 6 February 2013, I.C.J. Reports 2013, p. 9, para. 18).
4. In the present case, after the Respondent raised preliminary objections to the jurisdiction of the Court and the admissibility of the Application, the proceedings were bifurcated into two parts: the jurisdictional phase and the merits phase. During the present phase, the Court will determine whether the jurisdiction of the Court in the case can be established pursuant to Article IX of the Convention on the Prevention and Punishment of the Crime of Genocide (hereinafter the “Genocide Convention” or the “Convention”) and whether the Application of Ukraine against the Russian Federation is admissible. Should the Court render a judgment in the affirmative, the case will then proceed to the second phase.
5. Although all declarant States refer to Article IX of the Genocide Convention in their declarations, the question remains whether an intervention under Article 63 may deal with matters of jurisdiction, and consequently, whether an intervening State may be permitted to appear at the hearing on preliminary objections.
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6. It is true that Article 63 makes no distinction as to the type of provisions in respect of which a State party may be allowed to intervene to give its construction. It may also be argued that Article IX is one of the provisions of the Genocide Convention that could be construed by the States parties. However, since the admissibility of declarations of intervention rests with the Court, notwithstanding that it is a “right” of the States parties to intervene, it is for the Court to determine how this right should be exercised in the judicial proceedings. In the past, when a State party sought to intervene under Article 63, the Court declined to grant permission when the question of jurisdiction was not yet decided. As will be explained below, this approach has its good reasons.
7. In the Military and Paramilitary Activities case, El Salvador submitted a declaration of intervention under Article 63 at the jurisdictional phase. It argued that the Court had no jurisdiction in the case, among other aspects relating to the dispute between the parties. The Court observed that the declaration of intervention of El Salvador “addresse[d] itself also in effect to matters, including the construction of conventions, which presuppose that the Court has jurisdiction to entertain the dispute” between the parties and that Nicaragua’s Application was admissible (Military and Paramilitary Activities in and against Nicaragua (Nicaragua v. United States of America), Declaration of Intervention, Order of 4 October 1984, I.C.J. Reports 1984, p. 216, para. 2, emphasis added). The Court therefore decided not to hold an oral hearing for El Salvador’s intervention and ruled that “the declaration of intervention of the Republic of El Salvador is inadmissible inasmuch as it relates to the current phase of the proceedings brought by Nicaragua against the United States of America” (ibid., point (ii) of the operative paragraph, emphasis added).
8. In the present Order, the Court also refers to the 1984 decision in the Military and Paramilitary Activities case and is of the view that El Salvador’s declaration was rejected because it failed to identify the provisions of any convention the interpretation of which would be in question at the jurisdictional phase (Order, para. 65). With due respect, I must confess that my reading of that decision is different from the majority. First of all, in its declaration of intervention, El Salvador did refer to Article 36 of the Statute on which Nicaragua sought to found the jurisdiction of the Court and other legal instruments the construction of which, in El Salvador’s view, were in question at the jurisdictional phase in the case (declaration of intervention of the Republic of El Salvador, 15 August 1984, I.C.J. Pleadings, Military and Paramilitary Activities in and against Nicaragua (Nicaragua v. United States of America), Vol. II, pp. 456-457, para. XIV; see also the letter from El Salvador submitted to the Registrar on 10 September 1984, at ibid., pp. 461-462). Moreover, the Court did not give that reason in its Order. That view was expressed by some judges in their joint separate opinion, which, however, did not agree with the Court’s decision not to grant an oral hearing to El Salvador (Military and Paramilitary Activities in and against Nicaragua (Nicaragua v. United States of America), Declaration of Intervention, Order of 4 October 1984, I.C.J. Reports 1984, separate opinion of Judges Ruda, Mosler, Ago, Sir Robert Jennings and de Lacharrière, p. 219, para. 3). To fully appreciate the Court’s decision in 1984, attention should also be given to other judges’ opinions, which shed further light on the judicial considerations of the Court.
9. In explaining his individual position, Judge Nagendra Singh observed that El Salvador’s declaration in effect was directed to the merits of the case. In support of the Court’s Order, he stated that
“if a hearing were ever to be granted to El Salvador at the present first phase there would inevitably be arguments presented touching the merits, which aspect belongs to the second phase of the case after the Court’s jurisdiction to deal with the dispute has been established. If, therefore, El Salvador’s request for a hearing had been granted at this stage, it would have amounted to two hearings on merits, which could not be acceptable to any tribunal because of the confusion it would cause all round. In fact this would be both undesirable and untenable.” (Military and Paramilitary Activities in and against
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Nicaragua (Nicaragua v. United States of America), Declaration of Intervention, Order of 4 October 1984, I.C.J. Reports 1984, separate opinion of Judge Nagendra Singh, p. 218.)
10. Judge Nagendra Singh’s views were sound and convincing. His concern of possible two hearings for the intervenors to argue on the merits of the case is worth considering in the present case. Much to my regret, this important element is too easily dismissed by the Court.
11. As illustrated below, the declarations of intervention submitted to the Court in the present case, even where identifying Article IX for construction, all concern the merits of the case. Pursuant to Article 79bis, paragraph 3, of the Rules of Court, the moment the respondent raises objections to the jurisdiction of the Court and the admissibility of the application, the proceedings on the merits shall be suspended. Moreover, pleadings of the parties shall be confined to those matters that are relevant to the preliminary questions. Insomuch as the Court is concerned, its judgment on the questions of jurisdiction and admissibility shall not in any way prejudge the merits. For the same reason, an intervenor should not be allowed to address the merits of the case at the preliminary objections phase. This judicial policy bears on the good administration of justice by the Court, reflecting the nature of international adjudication based on the principle of consent.
12. In practice, the jurisdiction of the Court may be founded on the basis of a multilateral treaty on dispute settlement, for instance, the American Treaty on Pacific Settlement of 1948 (officially called the Pact of Bogotá) and the European Convention for the Peaceful Settlement of Disputes of 1957. These treaties set forth the procedures for the peaceful settlement of disputes between the States parties and the terms and conditions under which those procedures may be used. Usually, when such a treaty is invoked by the applicant or the parties to a case, the Court will, pursuant to Article 43, paragraph 1, of the Statute, notify the States parties to the treaty, which are entitled to exercise their right to give the construction of the treaty, even at the preliminary phase when an objection to jurisdiction is raised. Clearly this type of treaty is different from a compromissory clause, such as the one in the present case, because the provisions on the dispute settlement procedures and conditions are the very subject-matter of the treaty in question. Such provisions do not concern specific substantive rights and obligations in question. The States parties may intervene to give their construction of the provisions of the relevant treaty without necessarily touching the merits of the case before the Court. That is not the situation with Article IX of the Genocide Convention.
II. THE QUESTION OF JURISDICTION IN THE PRESENT CASE
13. The reason for restricting Article 63 intervention to the merits phase has much to do with the nature of jurisdiction of the Court. First of all, the issue of jurisdiction is not merely one of procedure. As has been pointed out,
“the question whether and to what extent the Court has jurisdiction is frequently of political importance no less than the decision on the merits, if not more. When a respondent raises a matter of jurisdiction . . . it frequently indicates the absence of political agreement that the Court should entertain the case. These are not mere technical issues.” (Shabtai Rosenne, The Law and Practice of the International Court, 1920-2005 (Brill 2006), Vol. II, Jurisdiction, p. 803.)
Unless and until the Court finds that it indeed has jurisdiction, there is no legal basis to discuss the merits of the case in the proceedings.
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14. Moreover, in determining whether it has jurisdiction ratione materiae to entertain the case, the Court does not consider the question of jurisdiction in abstract terms. As it observed in the Nottebohm case, “[t]he Court is not concerned with defining the meaning of the word ‘jurisdiction’ in general. In the present case, it must determine the scope and meaning” of the relevant title of jurisdiction (Liechtenstein v. Guatemala, Preliminary Objection, Judgment, I.C.J. Reports 1953, pp. 121-122). In other words, the Court must ascertain the extent of its jurisdiction in the concrete context of each specific case. Article IX of the Genocide Convention is a clause that establishes the jurisdiction of the Court. It defines the scope of the Court’s competence for the settlement of “[d]isputes between the Contracting Parties relating to the interpretation, application or fulfilment of the present Convention, including those relating to the responsibility of a State for genocide or for any of the other acts enumerated in article III”. Frequently the parties may hold divergent views on the question of jurisdiction of the Court or the admissibility of the application. As a preliminary matter, the Court shall, either at the request of any party or proprio motu, first adjudicate whether there exists a dispute that falls with the jurisdiction ratione materiae of the Court. That is to say, the matter forms part of the judicial process. This explains why a compromissory clause normally does not give rise to a declaration of intervention under Article 63. With regard to the question of the Court’s jurisdiction in the present case, interpretation of Article IX cannot be isolated from other provisions, totally detached from the interpretation of substantive articles and the facts of the case. This point is also admitted by some declarant States. For example, Cyprus states in its declaration of intervention that
“[i]t is not possible for the construction of that compromissory clause to take place in a vacuum, without reference to (and thus construction of) the substantive provisions of the Convention. . . .
The proper construction of Articles I, II, III, VIII, and IX are thus potentially in question in the case, even at the jurisdictional stage of the proceedings.” (Declaration of intervention of Cyprus, paras. 16 and 17.)
Cyprus’s statement actually raises the very issue now under consideration, namely whether it is judicially appropriate to allow an intervening State to give its view on the question whether the acts complained of by the Applicant fall within the jurisdiction of the Court at the present phase before the Court takes its decision on the question of jurisdiction.
15. Lastly, by its nature, an Article 63 intervention should be neutral and objective, as the intervenor is not a party to the proceedings. In giving its construction of the provisions of the convention, the intervenor should not take sides with either of the Parties to the dispute. At the preliminary objections phase, I doubt very much that interventions on the questions of jurisdiction and admissibility could maintain that objectivity.
16. Among its objections to the jurisdiction of the Court, the Respondent argues that there is no dispute between the Parties under the Genocide Convention. As an initial matter, the Court has to ascertain whether there exists a dispute between the Parties that is capable of falling within the provisions of the Genocide Convention and whether, as a consequence, the dispute is one which the Court has jurisdiction ratione materiae to entertain pursuant to Article IX (Legality of Use of Force (Yugoslavia v. France), Provisional Measures, Order of 2 June 1999, I.C.J. Reports 1999 (I), p. 372, para. 25; Legality of Use of Force (Yugoslavia v. United Kingdom), Provisional Measures, Order of 2 June 1999, I.C.J. Reports 1999 (II), p. 838, para. 33). Apparently, the existence of a dispute as a precondition for the establishment of jurisdiction is a judicial matter that is not for the parties but for the Court itself (Fisheries Jurisdiction (Spain v. Canada), Jurisdiction of the Court, Judgment, I.C.J. Reports 1998, p. 450, para. 37). In Bosnia and Herzegovina v. Yugoslavia, the Court stated that, “[i]n order to determine whether it has jurisdiction to entertain the case on the basis of Article IX of the Genocide Convention, it remains for the Court to verify whether there is a dispute between the Parties
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that falls within the scope of that provision” (Application of the Convention on the Prevention and Punishment of the Crime of Genocide (Bosnia and Herzegovina v. Yugoslavia), Preliminary Objections, Judgment, I.C.J. Reports 1996 (II), p. 614, para. 27, emphasis added). Therefore, the question of the existence of a dispute does not fall within the scope of intervention for the construction of the provision of Article IX.
17. In their declarations of intervention many States address the issue of the existence of a dispute between the Parties. They argue that there exists a dispute between Ukraine and the Russian Federation which falls within the scope of Article IX of the Genocide Convention. For example, Liechtenstein claims that “in the case at hand, there is a dispute between Ukraine and the Russian Federation not only prima facie but also ratione materiae” (declaration of intervention of Liechtenstein, para. 18). Likewise, Portugal states that “[i]t is . . . the view of the Portuguese Republic that a dispute exists between the parties to the case regarding the application, interpretation, and fulfilment of the Genocide Convention, and that the Court has jurisdiction under Article IX of the Convention” (declaration of intervention of Portugal, para. 31). Germany considers that “[t]he Parties . . . disagree over the lawfulness of the conduct of the applicant State, which is encompassed the term ‘dispute’” and that
“where, like in the case at hand, the subject-matter of an application concerns the question whether certain acts, such as allegations of genocide and military operations undertaken with the stated purpose of preventing and punishing genocide, are in conformity with the Genocide Convention, such dispute falls squarely within the scope of Article IX of the Convention” (declaration of intervention of Germany, paras. 30 and 36; for additional examples, see declaration of intervention of Bulgaria, para. 21; declaration of intervention of the Czech Republic, para. 26; declaration of intervention of Lithuania, para. 16).
18. Moreover, some of the declarations explicitly disregard the distinction between jurisdiction and merits, addressing both “preliminary and substantive elements”, even after the Court suspended the proceedings on the merits (joint declaration of intervention of Canada and the Netherlands, para. 9; see also declaration of intervention of Luxembourg, paras. 19-46; declaration of intervention of Norway, paras. 13-33). Indeed, the submissions of some declarant States apparently extend far beyond the construction of the Genocide Convention, directly making arguments on the merits of the case.
19. For instance, some declarant States assert that the Russian Federation has violated Article I of the Genocide Convention or the Court’s Order of 16 March 2022 on provisional measures. Illustratively, Ireland posits that “the Russian Federation has failed to comply with the [provisional measures] Order of the Court” (declaration of intervention of Ireland, para. 8). Spain argues that “Russia has failed to comply with the Order, has intensified and expanded its military operations on the territory of Ukraine and has thus aggravated the dispute pending before the Court” (declaration of intervention of Spain, para. 8; for further examples, see also declaration of intervention of Latvia, para. 9; declaration of intervention of Malta, para. 8; declaration of intervention of Poland, para. 8; declaration of intervention of Slovakia, para. 10; declaration of intervention of Slovenia, para. 8; declaration of intervention of Sweden, para. 10).
20. Some declarant States discuss the jus cogens nature of the obligations under the Convention or the principle of non-use of force in international law (see e.g. declaration of intervention of Belgium, para. 9; declaration of intervention of Estonia, para. 13; declaration of intervention of Greece, para. 14; declaration of intervention of Norway, para. 30; declaration of intervention of Romania, para. 43). Some declarant States simply make political statements with
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regard to the Russian Federation’s “war of aggression against Ukraine” (Observations on the admissibility of the declaration of intervention under Article 63 of Norway, para. 16; for additional examples, see declaration of intervention of Lithuania, paras. 16, 20; declaration of intervention of New Zealand, para. 11; declaration of intervention of Poland, para. 36).
21. Some declarant States refer to the obligation to perform international obligations in good faith, alleging the Respondent’s “serious misuses of the Genocide Convention” and abuse of the law (e.g. declaration of intervention of France, para. 21; declaration of intervention of Romania, para. 18; declaration of intervention of the United Kingdom, para. 54; declaration of intervention of Germany, para. 40).
22. These statements are apparently not about the construction of the Convention in accordance with Article 63; the declarant States act as parties to the dispute.
23. I must point out that, for the reasons stated above, I fully appreciate and endorse the Court’s statement that it will not consider any arguments presented by the intervening States on the existence of a dispute between the Parties, the evidence, the facts, the application of the Convention in the present case, or rules and principles of international law unrelated to the construction of the Genocide Convention (Order, para. 84). This position shows that the Court is also aware of the problems that I have addressed with regard to these declarations. This precaution, in my view, is nevertheless not sufficient to prevent the intervenors from dealing with other aspects of the case, for it actually still opens an opportunity for the intervening States to make arguments on the merits of the case, irrespective of whether or not they will be considered by the Court.
24. The declarant States do not hide the purposes of their interventions. Virtually all of them make clear their pursuit of two findings by the Court. The first concerns a “negative declaration” by the Court, namely, that the Court has jurisdiction to declare the absence of genocide on the part of Ukraine, with a view to finding that the Russian Federation’s allegation of genocide is unfounded. The second is that the Genocide Convention does not authorize or require — or indeed that the Convention prohibits — uses of force to prevent and punish genocidal acts, with a view to finding that the Russian Federation has acted contrary to its obligations under the Genocide Convention.
25. The “relief” sought by the declarant States, in the first place, is not the proper object of intervention. Secondly, some of those issues are matters that can only be raised by the Parties or, to be more specific, by the Applicant in its pleadings. They are matters of substance that have to be examined and ascertained by the Court in accordance with the provisions of the Convention on the basis of facts and evidence; they are neither part of the construction of the Convention, nor for judicial settlement at the present phase.
III. THE PRINCIPLE OF EQUALITY OF THE PARTIES
26. I agree with the majority’s position that the Respondent’s objections to the admissibility of the declarations of intervention on the grounds of political motivation and abuse of process are unfounded (Written Observations of the Russian Federation on the admissibility of the declarations of intervention, 24 March 2023, paras. 15-45, 64-74). The Court should nevertheless pay more attention to the application of the principle of equality of the parties in the present case.
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27. In the Whaling case, although there was only one State seeking to intervene, the close relationship between one party and the intervenor already raised some concern. Judge Owada observed that
“[i]t is regrettable that a State party to a case before the Court and a State seeking to intervene in that case pursuant to Article 63 of the Statute should engage in what could be perceived as active collaboration in litigation strategy to use the Court’s Statute and the Rules of Court for the purpose of promoting their common interest, as is candidly admitted in their Joint Media Release of 15 December 2010” (Whaling in the Antarctic (Australia v. Japan), Declaration of Intervention of New Zealand, Order of 6 February 2013, I.C.J. Reports 2013, declaration of Judge Owada, p. 12, para. 5).
28. Although the Court seldom addresses the motivation of a State for coming to the Court, either as a party to a dispute or as a third State invoking an incidental proceeding, the overwhelming number of the declarant States in the present case that all stand on one side of the Parties and argue for the same cause and the same purpose should not be taken lightly and treated as a normal situation of intervention under Article 63. Virtually all of these declarant States are among the States that, together with the European Union, collectively issued the “Joint Statements” on 20 May 2022 and 13 July 2022. In the said statements, it is explicitly stated that these States would mobilize political support to Ukraine against the Russian Federation by intervening in these proceedings and explore “all options to support Ukraine in its proceedings before the ICJ” (Joint Statement by 41 States and the European Union on Ukraine’s Application against Russia at the International Court of Justice, 20 May 2022; Joint Statement by 43 States and the European Union on Ukraine’s Application against Russia at the International Court of Justice, 13 July 2022). Although their right to intervene under Article 63 remains intact notwithstanding the joint statements, the declarant States are in fact, to borrow Judge Owada’s words, engaging in “an active collaboration of litigation strategy”. These legal actions would certainly lend strong political support to the Applicant and at the same time exert political pressure on the Court to entertain the case.
29. Good administration of justice and equality of the parties are two fundamental principles that must guide the judicial process. Under the circumstances of the present case, the Court, in considering the admissibility of the declarations of intervention, should not lose sight of the imbalance between the Parties and the impact of the interventions on the judicial proceedings. As discussed before, confining Article 63 intervention to substantive provisions at the merits phase would ensure that the intervening States will not deal with the merits of the case before the Court has established its jurisdiction and decided that the Application is admissible. It would avoid the situation where the intervenors may be afforded two hearings to present their views on the merits. This is a fair approach for both Parties. In essence, this position would not in any way prejudice the right of the States parties to intervene under Article 63 of the Statute. I regret that the present decision does not duly take those aspects into account. As is often said, it is not enough that justice is done. Justice must also appear to be done.
(Signed) XUE Hanqin.
___________
391
DISSENTING OPINION OF JUDGE XUE
1. Much to my regret, I am unable to join the majority in finding the
Declarations of intervention admissible at this preliminary objections stage.
The questions of jurisdiction and admissibility fall within the domain of
judicial functions of the Court. It is for the Court to decide whether or not it
has jurisdiction in the case. Moreover, in dealing with such a massive number
of declarant States, the Court should, in my view, be mindful of the principle
of equality of the parties to ensure good administration of justice. This is
imperative for the present case as well as for the judicial practice of the
Court in general. As obliged by the Statute, I shall explain the reasons for my
position.
I. The Scope of Article 63
2. Article 63 of the Statute reads as follows:
“1. Whenever the construction of a convention to which States other
than those concerned in the case are parties is in question, the Registrar
shall notify all such States forthwith.
2. Every State so notified has the right to intervene in the proceedings;
but if it uses this right, the construction given by the judgment will
be equally binding upon it.”
3. Article 82 of the Rules of Court further lays down detailed conditions
concerning the submission of a declaration of intervention under Article 63
of the Statute. In the present case, I agree with the majority that all the
Declarations except for the one submitted by the United States have met
these conditions. Notwithstanding that finding, the Court must ascertain
whether, in the circumstances of the case, the object of each Declaration is
in fact the interpretation of the relevant convention and therefore constitutes
“a genuine intervention” (Haya de la Torre (Colombia v. Peru), Judgment,
I.C.J. Reports 1951, p. 77). As the Court stated in the Whaling case,
“intervention under Article 63 of the Statute is limited to submitting
observations on the construction of the convention in question and does
not allow the intervenor, which does not become a party to the proceedings,
to deal with any other aspect of the case before the Court” (Whaling
in the Antarctic (Australia v. Japan), Declaration of Intervention of
391
OPINION DISSIDENTE DE Mme LA JUGE XUE
[Traduction]
1. À mon grand regret, je ne peux me rallier à la conclusion de la majorité
selon laquelle les déclarations d’intervention sont recevables au présent stade
des exceptions préliminaires. Les questions de compétence et de recevabilité
entrent dans le cadre de la fonction judiciaire de la Cour, et il revient à
celle-ci de déterminer si elle a ou non compétence en l’espèce. Je pense en
outre que, lorsqu’elle a affaire à un nombre aussi considérable d’États déclarants,
la Cour doit, pour garantir la bonne administration de la justice, se
soucier du principe de l’égalité des parties. Il en est ainsi tant pour la présente
affaire que pour la pratique judiciaire de la Cour en général. Comme j’y suis
tenue par le Statut, j’expliquerai ci-après les raisons de ma position.
I. La portée de l’article 63
2. L’article 63 du Statut est libellé comme suit :
« 1. Lorsqu’il s’agit de l’interprétation d’une convention à laquelle ont
participé d’autres États que les parties en litige, le Greffier les avertit
sans délai.
2. Chacun d’eux a le droit d’intervenir au procès et, s’il exerce cette
faculté, l’interprétation contenue dans la sentence est également obligatoire
à son égard. »
3. En outre, l’article 82 du Règlement de la Cour énonce en détail les
conditions requises pour la présentation d’une déclaration d’intervention
fondée sur l’article 63 du Statut. Je conviens avec la majorité que toutes les
déclarations déposées en la présente affaire, à l’exception de celle soumise
par les États-Unis, satisfont à ces exigences. La Cour doit néanmoins rechercher
si, dans les circonstances de l’espèce, chaque déclaration a effectivement
pour objet l’interprétation de la convention en cause et constitue donc « une
véritable intervention » (Haya de la Torre (Colombie c. Pérou), arrêt, C.I.J.
Recueil 1951, p. 77). Comme la Cour l’a dit dans l’affaire relative à la Chasse
à la baleine,
« l’intervention au titre de l’article 63 du Statut se limite à la présentation
d’observations au sujet de l’interprétation de la convention concernée et
ne permet pas à l’intervenant, qui n’acquiert pas la qualité de partie au
différend, d’aborder quelque autre aspect que ce soit de l’affaire dont est
saisie la Cour » (Chasse à la baleine dans l’Antarctique (Australie
392 allegations of genocide (diss. op. xue)
New Zealand, Order of 6 February 2013, I.C.J. Reports 2013, p. 9,
para. 18).
4. In the present case, after the Respondent raised preliminary objections
to the jurisdiction of the Court and the admissibility of the Application, the
proceedings were bifurcated into two parts: the jurisdictional phase and the
merits phase. During the present phase, the Court will determine whether
the jurisdiction of the Court in the case can be established pursuant to
Article IX of the Convention on the Prevention and Punishment of the Crime
of Genocide (hereinafter the “Genocide Convention” or the “Convention”)
and whether the Application of Ukraine against the Russian Federation is
admissible. Should the Court render a judgment in the affirmative, the case
will then proceed to the second phase.
5. Although all declarant States refer to Article IX of the Genocide
Convention in their Declarations, the question remains whether an intervention
under Article 63 may deal with matters of jurisdiction, and consequently,
whether an intervening State may be permitted to appear at the hearing on
preliminary objections.
6. It is true that Article 63 makes no distinction as to the type of provisions
in respect of which a State party may be allowed to intervene to give
its construction. It may also be argued that Article IX is one of the provisions
of the Genocide Convention that could be construed by the States parties.
However, since the admissibility of declarations of intervention rests with
the Court, notwithstanding that it is a “right” of the States parties to intervene,
it is for the Court to determine how this right should be exercised in the
judicial proceedings. In the past, when a State party sought to intervene
under Article 63, the Court declined to grant permission when the question
of jurisdiction was not yet decided. As will be explained below, this approach
has its good reasons.
7. In the Military and Paramilitary Activities case, El Salvador submitted
a Declaration of intervention under Article 63 at the jurisdictional phase.
It argued that the Court had no jurisdiction in the case, among other aspects
relating to the dispute between the parties. The Court observed that the
Declaration of intervention of El Salvador “addresse[d] itself also in effect to
matters, including the construction of conventions, which presuppose that
the Court has jurisdiction to entertain the dispute” between the parties and
that Nicaragua’s Application was admissible (Military and Paramilitary
Activities in and against Nicaragua (Nicaragua v. United States of America),
Declaration of Intervention, Order of 4 October 1984, I.C.J. Reports 1984,
p. 216, para. 2, emphasis added). The Court therefore decided not to hold an
oral hearing for El Salvador’s intervention and ruled that “the declaration of
intervention of the Republic of El Salvador is inadmissible inasmuch as it
relates to the current phase of the proceedings brought by Nicaragua against
the United States of America” (ibid., point (ii) of the operative paragraph,
emphasis added).
allégations de génocide (op. diss. xue) 392
c. Japon), déclaration d’intervention de la Nouvelle-Zélande, ordonnance
du 6 février 2013, C.I.J. Recueil 2013, p. 9, par. 18).
4. Dans la présente affaire, après que la défenderesse a soulevé des exceptions
préliminaires d’incompétence de la Cour et d’irrecevabilité de la
requête, la procédure a été scindée en deux phases : celle de la compétence et
celle du fond. Dans la phase en cours, la Cour recherche si sa compétence en
l’espèce peut être fondée sur l’article IX de la convention pour la prévention
et la répression du crime de génocide (ci-après la « convention sur le génocide
» ou la « convention ») et si la requête introduite par l’Ukraine contre la
Fédération de Russie est recevable. Dans l’affirmative, l’affaire se poursuivra
alors jusqu’à la seconde phase.
5. Bien que, dans leurs déclarations, tous les États déclarants se réfèrent à
l’article IX de la convention sur le génocide, il reste à déterminer si une
intervention fondée sur l’article 63 peut porter sur des questions de compétence
et, partant, si un État intervenant peut être admis à participer aux
audiences sur les exceptions préliminaires.
6. Il est vrai que l’article 63 ne fait aucune distinction quant au type de
dispositions dont l’interprétation peut faire l’objet de l’intervention d’un État
partie. On pourrait également faire valoir que l’article IX est l’une des dispositions
de la convention sur le génocide qu’il est loisible aux États parties
d’interpréter. Il appartient toutefois à la Cour de statuer sur la recevabilité
des déclarations d’intervention, de sorte que, bien que ces États aient le
« droit » d’intervenir, il échoit à la Cour de dire comment ce droit doit être
exercé au procès. Par le passé, lorsqu’un État partie a demandé à intervenir
sur le fondement de l’article 63, la Cour a refusé de faire droit à sa demande
tant que la question de la compétence n’avait pas été tranchée. Cette approche
est justifiée, ainsi qu’il sera exposé ci-dessous.
7. Dans l’affaire des Activités militaires et paramilitaires au Nicaragua et
contre celui-ci, El Salvador avait déposé, pendant la phase juridictionnelle,
une déclaration d’intervention fondée sur l’article 63 dans laquelle il soutenait,
entre autres arguments relatifs au différend entre les parties, que la
Cour n’avait pas compétence en l’espèce. La Cour a observé que la déclaration
d’intervention d’El Salvador « port[ait] en fait aussi sur des questions, y
compris l’interprétation de conventions, qui présuppos[ai]ent que la Cour
a[vait] compétence pour connaître du différend » entre les parties et que la
requête du Nicaragua était recevable (Activités militaires et paramilitaires
au Nicaragua et contre celui-ci (Nicaragua c. États-Unis d’Amérique),
déclaration d’intervention, ordonnance du 4 octobre 1984, C.I.J. Recueil
1984, p. 216, par. 2, les italiques sont de moi). La Cour a donc décidé de ne
pas tenir d’audience sur l’intervention d’El Salvador et jugé que « la déclaration
d’intervention de la République d’El Salvador [étai]t irrecevable en ce
qu’elle se rapport[ait] à la phase en cours de l’instance introduite par le
Nicaragua contre les États-Unis d’Amérique » (ibid., point ii) du dispositif,
les italiques sont de moi).
393 allegations of genocide (diss. op. xue)
8. In the present Order, the Court also refers to the 1984 decision in the
Military and Paramilitary Activities case and is of the view that El Salvador’s
Declaration was rejected because it failed to identify the provisions of any
convention, the interpretation of which would be in question at the jurisdictional
phase (Order, para. 65). With due respect, I must confess that my
reading of that decision is different from the majority. First of all, in its
Declaration of intervention, El Salvador did refer to Article 36 of the Statute
on which Nicaragua sought to found the jurisdiction of the Court and other
legal instruments the construction of which, in El Salvador’s view, were in
question at the jurisdictional phase in the case (I.C.J. Pleadings, Military
and Paramilitary Activities in and against Nicaragua (Nicaragua v.
United States of America), Declaration of intervention of the Republic of
El Salvador, 15 August 1984, Vol. II, pp. 456-457, para. XIV; see also the
letter from El Salvador submitted to the Registrar on 10 September 1984, at
ibid., pp. 461-462). Moreover, the Court did not give that reason in its Order.
That view was expressed by some judges in their joint separate opinion,
which, however, did not agree with the Court’s decision not to grant an oral
hearing to El Salvador (Military and Paramilitary Activities in and against
Nicaragua (Nicaragua v. United States of America), Declaration of
Intervention, Order of 4 October 1984, I.C.J. Reports 1984, separate opinion
of Judges Ruda, Mosler, Ago, Jennings and de Lacharrière, p. 219, para. 3).
To fully appreciate the Court’s decision in 1984, attention should also be
given to other judges’ opinions, which shed further light on the judicial
considerations of the Court.
9. In explaining his individual position, Judge Nagendra Singh observed
that El Salvador’s Declaration in effect was directed to the merits of the case.
In support of the Court’s Order, he stated that
“if a hearing were ever to be granted to El Salvador at the present first
phase there would inevitably be arguments presented touching the merits,
which aspect belongs to the second phase of the case after the Court’s
jurisdiction to deal with the dispute has been established. If, therefore,
El Salvador’s request for a hearing had been granted at this stage, it would
have amounted to two hearings on merits, which could not be acceptable
to any tribunal because of the confusion it would cause all round. In fact
this would be both undesirable and untenable.” (Military and Paramilitary
Activities in and against Nicaragua (Nicaragua v. United States of
America), Declaration of Intervention, Order of 4 October 1984, I.C.J.
Reports 1984, separate opinion of Judge Singh, p. 218.)
10. Judge Singh’s views were sound and convincing. His concern of
possibly two hearings for the intervenors to argue on the merits of the case
is worth considering in the present case. Much to my regret, this important
element is too easily dismissed by the Court.
allégations de génocide (op. diss. xue) 393
8. Dans la présente ordonnance, la Cour se réfère elle aussi à la décision
rendue en 1984 dans l’affaire des Activités militaires et paramilitaires et
estime que si El Salvador a vu sa déclaration rejetée, c’est parce qu’il n’y
avait indiqué aucune disposition d’une convention, quelle qu’elle soit, dont
l’interprétation aurait été en cause au stade de la compétence (ordonnance,
par. 65). Malgré tout le respect que je porte à la majorité, je dois avouer que
mon interprétation de cette décision diffère de la sienne. Tout d’abord, dans
sa déclaration d’intervention, El Salvador renvoyait bien à l’article 36 du
Statut, sur lequel le Nicaragua entendait fonder la compétence de la Cour,
ainsi qu’à d’autres instruments juridiques dont il estimait que l’interprétation
était en cause au stade juridictionnel de l’instance (C.I.J. Mémoires, Activités
militaires et paramilitaires au Nicaragua et contre celui-ci (Nicaragua
c. États-Unis d’Amérique), déclaration d’intervention de la République
d’El Salvador, 15 août 1984, vol. II, p. 456-457, par. XIV ; voir également la
lettre en date du 10 septembre 1984 adressée au greffier par El Salvador,
ibid., p. 461-462). Ensuite, il ne s’agissait pas là du motif invoqué par la Cour
dans son ordonnance, mais de l’avis exprimé par certains juges dans leur
opinion conjointe, où ils expliquaient ne pas souscrire pour autant à la décision
de la Cour de ne pas entendre El Salvador (Activités militaires et
paramilitaires au Nicaragua et contre celui-ci (Nicaragua c. États-Unis
d’Amérique), déclaration d’intervention, ordonnance du 4 octobre 1984,
C.I.J. Recueil 1984, opinion conjointe des juges Ruda, Mosler, Ago,
Jennings et de Lacharrière, p. 219, par. 3). Pour saisir pleinement la décision
rendue par la Cour en 1984, il faut s’intéresser également aux opinions
des autres juges, lesquelles apportent un éclairage supplémentaire sur les
considérations judiciaires qui ont guidé la Cour.
9. Le juge Nagendra Singh a ainsi fait observer, dans l’exposé de sa position
individuelle, que la déclaration d’El Salvador portait en fait sur le fond
de la procédure. À l’appui de l’ordonnance de la Cour, il a déclaré ce qui suit :
« [S]i El Salvador était entendu au cours de la phase préliminaire
actuelle, des arguments seraient inévitablement présentés au sujet du
fond, aspect qui ne concerne que la deuxième phase de l’instance, une
fois établie la compétence de la Cour pour connaître du différend. Par
suite, si la demande d’audition d’El Salvador avait été retenue à ce stade,
il en serait résulté pratiquement deux séries d’audiences sur le fond, ce
qu’aucun tribunal ne saurait accepter vu la confusion générale qui s’ensuivrait,
et qui serait inopportune et insoutenable. » (Activités militaires
et paramilitaires au Nicaragua et contre celui-ci (Nicaragua c. États-
Unis d’Amérique), déclaration d’intervention, ordonnance du 4 octobre
1984, C.I.J. Recueil 1984, opinion individuelle du juge Singh, p. 218.)
10. L’analyse du juge Singh était juste et convaincante. L’inquiétude que
lui inspirait la perspective d’une double série d’audiences consacrées aux
observations des intervenants sur le fond mérite d’être prise en considération
en la présente espèce. À mon grand regret, la Cour a trop facilement écarté
cet aspect important.
394 allegations of genocide (diss. op. xue)
11. As illustrated below, the Declarations of intervention submitted to the
Court in the present case, even where identifying Article IX for construction,
all concern the merits of the case. Pursuant to Article 79bis, paragraph 3,
of the Rules of Court, the moment the respondent raises objections to the
jurisdiction of the Court and the admissibility of the application, the proceedings
on the merits shall be suspended. Moreover, pleadings of the parties
shall be confined to those matters that are relevant to the preliminary questions.
Insomuch as the Court is concerned, its judgment on the questions of
jurisdiction and admissibility shall not in any way prejudge the merits. For
the same reason, an intervenor should not be allowed to address the merits of
the case at the preliminary objections phase. This judicial policy bears on the
good administration of justice by the Court, reflecting the nature of international
adjudication based on the principle of consent.
12. In practice, the jurisdiction of the Court may be founded on the basis
of a multilateral treaty on dispute settlement, for instance, the American
Treaty on Pacific Settlement of 1948 (officially called the Pact of Bogotá) and
the European Convention for the Peaceful Settlement of Disputes of 1957.
These treaties set forth the procedures for the peaceful settlement of disputes
between the States parties and the terms and conditions under which those
procedures may be used. Usually, when such a treaty is invoked by the applicant
or the parties to a case, the Court will, pursuant to Article 43, paragraph 1,
of the Statute, notify the States parties to the treaty, which are entitled to
exercise their right to give the construction of the treaty, even at the preliminary
phase when an objection to jurisdiction is raised. Clearly this type of
treaty is different from a compromissory clause, such as the one in the present
case, because the provisions on the dispute settlement procedures and
conditions are the very subject-matter of the treaty in question. Such provisions
do not concern specific substantive rights and obligations in question.
The States parties may intervene to give their construction of the provisions
of the relevant treaty without necessarily touching the merits of the case
before the Court. That is not the situation with Article IX of the Genocide
Convention.
II. The Question of Jurisdiction in the Present Case
13. The reason for restricting Article 63 intervention to the merits phase
has much to do with the nature of jurisdiction of the Court. First of all,
the issue of jurisdiction is not merely one of procedure. As has been pointed
out,
“the question whether and to what extent the Court has jurisdiction is
frequently of political importance no less than the decision on the merits,
if not more. When a respondent raises a matter of jurisdiction . . .
it frequently indicates the absence of political agreement that the Court
should entertain the case. These are not mere technical issues.” (Shabtai
allégations de génocide (op. diss. xue) 394
11. Comme l’illustrent les exemples ci-dessous, les déclarations d’intervention
déposées en la présente affaire, même celles qui visent expressément
l’interprétation de l’article IX, concernent toutes le fond de l’affaire. Selon le
paragraphe 3 de l’article 79bis du Règlement de la Cour, dès l’instant où la
défenderesse soulève des exceptions d’incompétence de la Cour et d’irrecevabilité
de la requête, la procédure sur le fond est suspendue. En outre, les
pièces de procédure déposées par les parties sont limitées aux points ayant
trait aux questions préliminaires. Pour la Cour, l’arrêt qu’elle rend sur les
questions de compétence et de recevabilité ne préjuge en rien le fond. C’est
pour cette même raison qu’il ne devrait pas être permis à un intervenant
d’aborder le fond de l’affaire au stade des exceptions préliminaires. Cette
politique judiciaire, dont dépend la bonne administration de la justice par la
Cour, est le propre d’un système de règlement des différends internationaux
fondé sur le principe du consentement.
12. En pratique, la juridiction de la Cour peut procéder d’un traité multilatéral
sur le règlement des litiges, tels que le traité américain de règlement
pacifique de 1948 (dénommé officiellement « pacte de Bogotá ») et la convention
européenne de 1957 pour le règlement pacifique des différends, lesquels
fixent les procédures de règlement pacifique des différends entre les
États parties ainsi que les conditions à remplir pour y recourir. En général,
lorsque le demandeur ou les parties à l’instance invoquent un tel traité,
la Cour, conformément au paragraphe 1 de l’article 43 de son Statut, en
avise les États parties, lesquels sont fondés à exercer leur droit de donner
leur interprétation du traité, et ce, même pendant la phase préliminaire,
lorsqu’une exception d’incompétence est soulevée. Les traités de ce type
ne s’apparentent manifestement pas à une clause compromissoire, telle que
celle qui est ici en cause, puisque les dispositions relatives aux procédures
et aux modalités de règlement des différends sont leur objet même. Ces
dispositions ne concernent pas les droits et obligations particuliers en cause
sur le fond. Les États parties peuvent intervenir pour donner leur interprétation
des dispositions du traité en question sans nécessairement toucher
au fond de l’affaire dont la Cour est saisie. Il n’en va pas ainsi de l’article IX
de la convention sur le génocide.
II. La question de la compétence en l’espèce
13. La raison pour laquelle la faculté d’intervenir au titre de l’article 63
doit être limitée à la phase du fond tient largement à la nature de la compétence
de la Cour. Tout d’abord, la question de la compétence n’est pas
seulement procédurale. Ainsi qu’il a été souligné,
« bien souvent, la question de savoir si et dans quelle mesure la Cour a
compétence revêt tout autant, sinon plus, d’importance politique que la
décision sur le fond. Le fait qu’un défendeur soulève une question de
compétence … trahit souvent l’absence d’accord politique pour que
la Cour statue sur l’affaire. Ce ne sont pas là de simples questions
395 allegations of genocide (diss. op. xue)
Rosenne, The Law and Practice of the International Court, 1920-2005
(Brill, 2006), Vol. II, Jurisdiction, p. 803.)
Unless and until the Court finds that it indeed has jurisdiction, there is no
legal basis to discuss the merits of the case in the proceedings.
14. Moreover, in determining whether it has jurisdiction ratione materiae
to entertain the case, the Court does not consider the question of jurisdiction
in abstract terms. As it observed in the Nottebohm case, “[t]he Court is not
concerned with defining the meaning of the word ‘jurisdiction’ in general.
In the present case, it must determine the scope and meaning” of the relevant
title of jurisdiction (Nottebohm (Liechtenstein v. Guatemala), Preliminary
Objection, Judgment, I.C.J. Reports 1953, pp. 121-122). In other words,
the Court must ascertain the extent of its jurisdiction in the concrete context
of each specific case. Article IX of the Genocide Convention is a clause that
establishes the jurisdiction of the Court. It defines the scope of the Court’s
competence for the settlement of “[d]isputes between the Contracting Parties
relating to the interpretation, application or fulfilment of the present
Convention, including those relating to the responsibility of a State for genocide
or for any of the other acts enumerated in article III”. Frequently the
parties may hold divergent views on the question of jurisdiction of the Court
or the admissibility of the application. As a preliminary matter, the Court
shall, either at the request of any party or proprio motu, first adjudicate
whether there exists a dispute that falls with the jurisdiction ratione mat-
eriae of the Court. That is to say, the matter forms part of the judicial process.
This explains why a compromissory clause normally does not give rise to a
declaration of intervention under Article 63. With regard to the question of
the Court’s jurisdiction in the present case, interpretation of Article IX
cannot be isolated from other provisions, totally detached from the interpretation
of substantive articles and the facts of the case. This point is also
admitted by some declarant States. For example, Cyprus states in its
Declaration of intervention that
“[i]t is not possible for the construction of that compromissory clause to
take place in a vacuum, without reference to (and thus construction of)
the substantive provisions of the Convention. . . .
The proper construction of Articles I, II, III, VIII, and IX are thus
potentially in question in the case, even at the jurisdictional stage of the
proceedings.” (Declaration of intervention of Cyprus, paras. 16 and 17.)
Cyprus’s statement actually raises the very issue now under consideration,
namely whether it is judicially appropriate to allow an intervening State
to give its view on the question whether the acts complained of by the
Applicant fall within the jurisdiction of the Court at the present phase before
the Court takes its decision on the question of jurisdiction.
15. Lastly, by its nature, an Article 63 intervention should be neutral and
objective, as the intervenor is not a party to the proceedings. In giving its
allégations de génocide (op. diss. xue) 395
techniques. » (Shabtai Rosenne, The Law and Practice of the International
Court, 1920-2005 (Brill, 2006), vol. II, Jurisdiction, p. 803.)
Tant que la Cour ne s’est pas déclarée compétente, aucune base juridique ne
lui permet d’examiner le fond de l’instance dont elle est saisie.
14. En outre, pour déterminer si elle a compétence ratione materiae pour
connaître de l’affaire, la Cour n’appréhende pas la question de la juridiction
de manière abstraite. Comme elle l’a fait observer dans l’affaire Nottebohm,
« [l]a Cour n’entend pas s’attacher à déterminer le sens qu’a le terme “juridiction”
en général. Dans le cas présent, il lui faut déterminer la portée et le
sens » du titre de compétence invoqué (Nottebohm (Liechtenstein c. Guatemala),
exception préliminaire, arrêt, C.I.J. Recueil 1953, p. 121-122). En
d’autres termes, la Cour doit apprécier l’étendue de sa compétence à la
lumière des circonstances concrètes de chaque cas d’espèce. L’article IX de
la convention sur le génocide prévoit la compétence de la Cour et précise
qu’elle s’étend au règlement « [d]es différends entre les Parties contractantes
relatifs à l’interprétation, l’application ou l’exécution de la présente
Convention, y compris ceux relatifs à la responsabilité d’un État en matière
de génocide ou de l’un quelconque des autres actes énumérés à l’article III ».
Il arrive fréquemment que les parties aient des vues divergentes sur la question
de la compétence de la Cour ou de la recevabilité de la requête. La Cour
doit se prononcer tout d’abord, à la demande d’une partie ou d’office, sur la
question de savoir s’il existe un différend relevant de sa compétence ratione
materiae, c’est-à-dire qui entre dans le cadre de la fonction judiciaire. C’est
pourquoi il est inhabituel qu’une clause compromissoire fasse l’objet d’une
déclaration d’intervention fondée sur l’article 63. Pour ce qui est de la question
de la compétence de la Cour en la présente affaire, l’interprétation de
l’article IX ne saurait se faire hors de contexte, sans tenir aucun compte de
celle des articles de fond et des faits de l’espèce. Certains des États déclarants
le reconnaissent également. Chypre affirme ainsi que
« [l’]interprétation de la clause compromissoire qu’il contient ne saurait
se faire dans l’abstrait, sans évoquer (et par conséquent interpréter) les
dispositions de la convention qui ont trait au fond…
La juste interprétation des articles premier, II, III, VIII et IX pourrait
donc être en cause en l’espèce, y compris au stade de la compétence. »
(Déclaration d’intervention de Chypre, par. 16-17.)
Or c’est précisément là ce qui nous occupe aujourd’hui, puisqu’il convient de
déterminer s’il est judiciairement opportun, au stade actuel de l’instance, de
permettre à un État intervenant de donner son sentiment sur la question
de savoir si les actes dont la demanderesse tire grief relèvent de la compétence
de la Cour, avant même que celle-ci ait statué sur la question de la
juridiction.
15. Enfin, une intervention fondée sur l’article 63 doit, par nature, être
neutre et objective, l’intervenant n’ayant pas la qualité de partie à l’instance.
396 allegations of genocide (diss. op. xue)
construction of the provisions of the convention, the intervenor should not
take sides with either of the Parties to the dispute. At the preliminary objections
phase, I doubt very much that interventions on the questions of
jurisdiction and admissibility could maintain that objectivity.
16. Among its objections to the jurisdiction of the Court, the Respondent
argues that there is no dispute between the Parties under the Genocide
Convention. As an initial matter, the Court has to ascertain whether there
exists a dispute between the Parties that is capable of falling within the
provisions of the Genocide Convention and whether, as a consequence, the
dispute is one which the Court has jurisdiction ratione materiae to entertain
pursuant to Article IX (Legality of Use of Force (Yugoslavia v. France),
Provisional Measures, Order of 2 June 1999, I.C.J. Reports 1999 (I),
p. 372, para. 25; Legality of Use of Force (Yugoslavia v. United Kingdom),
Provisional Measures, Order of 2 June 1999, I.C.J. Reports 1999 (II),
p. 838, para. 33). Apparently, the existence of a dispute as a precondition for
the establishment of jurisdiction is a judicial matter that is not for the parties
but for the Court itself (Fisheries Jurisdiction (Spain v. Canada), Jurisdiction
of the Court, Judgment, I.C.J. Reports 1998, p. 450, para. 37). In Bosnia
and Herzegovina v. Yugoslavia, the Court stated that,
“[i]n order to determine whether it has jurisdiction to entertain the case
on the basis of Article IX of the Genocide Convention, it remains for the
Court to verify whether there is a dispute between the Parties that falls
within the scope of that provision” (Application of the Convention on the
Prevention and Punishment of the Crime of Genocide (Bosnia and
Herzegovina v. Yugoslavia), Preliminary Objections, Judgment, I.C.J.
Reports 1996 (II), p. 614, para. 27, emphasis added).
Therefore, the question of the existence of a dispute does not fall within
the scope of intervention for the construction of the provision of
Article IX.
17. In their Declarations of intervention many States address the issue of
the existence of a dispute between the Parties. They argue that there exists a
dispute between Ukraine and the Russian Federation which falls within the
scope of Article IX of the Genocide Convention. For example, Liechtenstein
claims that “in the case at hand, there is a dispute between Ukraine and the
Russian Federation not only prima facie but also ratione materiae”
(Declaration of intervention of Liechtenstein, para. 18). Likewise, Portugal
states that “[i]t is . . . the view of the Portuguese Republic that a dispute
exists between the [P]arties to the case regarding the application, interpretation,
and fulfillment of the Genocide Convention, and that the Court has
jurisdiction under Article IX of the Convention” (Declaration of intervention
of Portugal, para. 31). Germany considers that “[t]he Parties . . . disagree
over the lawfulness of the conduct of the applicant State, which is encompassed
the term ‘dispute’” and that
allégations de génocide (op. diss. xue) 396
Lorsqu’il expose son interprétation des dispositions de la convention, l’intervenant
doit s’abstenir de prendre fait et cause pour l’une ou l’autre des parties
au différend. Je doute fort que des interventions déposées au stade des
exceptions préliminaires, et portant sur des questions de compétence et de
recevabilité, puissent être empreintes d’objectivité.
16. Pour contester la compétence de la Cour, la défenderesse soutient
notamment qu’aucun différend au titre de la convention sur le génocide
n’oppose les Parties. La Cour doit d’emblée rechercher s’il existe entre les
Parties un différend susceptible d’entrer dans les prévisions de la convention
sur le génocide et si, par suite, le différend est de ceux dont elle est compétente
pour connaître ratione materiae p ar a pplication d e l ’article IX
(Licéité de l’emploi de la force (Yougoslavie c. France), mesures conservatoires,
ordonnance du 2 juin 1999, C.I.J. Recueil 1999 (I), p. 372, par. 25 ;
Licéité de l’emploi de la force (Yougoslavie c. Royaume-Uni), mesures
conservatoires, ordonnance du 2 juin 1999, C.I.J. Recueil 1999 (II), p. 838,
par. 33). Il semble que l’existence d’un différend en tant que condition préalable
à l’établissement de la compétence soit une question judiciaire qu’il
appartient non pas aux parties mais à la Cour elle-même de trancher
(Compétence en matière de pêcheries (Espagne c. Canada), compétence de
la Cour, arrêt, C.I.J. Recueil 1998, p. 450, par. 37). En l’affaire Bosnie-
Herzégovine c. Yougoslavie, la Cour a dit qu’il
« [lui r]est[ait] …, pour déterminer si elle a[vait] compétence pour
connaître de l’affaire sur la base de l’article IX de la convention sur le
génocide, à vérifier s’il exist[ait] entre les Parties un différend entrant
dans les prévisions de cette disposition » (Application de la convention
pour la prévention et la répression du crime de génocide (Bosnie-
Herzégovine c. Yougoslavie), exceptions préliminaires, arrêt, C.I.J.
Recueil 1996 (II), p. 614, par. 27, les italiques sont de moi).
La question de l’existence d’un différend sort donc du champ de l’intervention
portant sur l’interprétation des dispositions de l’article IX.
17. De nombreux États traitent dans leurs déclarations d’intervention de la
question de l’existence d’un différend entre les Parties. Ils soutiennent qu’il
existe, entre l’Ukraine et la Fédération de Russie, un différend qui entre dans
le champ d’application de l’article IX de la convention sur le génocide.
Le Liechtenstein affirme ainsi qu’« il existe en l’espèce un différend entre
l’Ukraine et la Fédération de Russie non seulement prima facie, mais aussi
ratione materiae » (déclaration d’intervention du Liechtenstein, par. 18).
Dans la même veine, « [l]a République portugaise considère … qu’il existe,
entre les Parties à la présente affaire, un différend relatif à l’application,
l’interprétation et l’exécution de la convention sur le génocide, et que la Cour
a compétence pour en connaître au titre de l’article IX de la convention »
(déclaration d’intervention du Portugal, par. 31). L’Allemagne estime que
« [l]es Parties sont … en désaccord sur la licéité du comportement de l’État
demandeur, qui est englobé par le terme “différend” » et que
397 allegations of genocide (diss. op. xue)
“where, like in the case at hand, the subject-matter of an application
concerns the question whether certain acts, such as allegations of genocide
and military operations undertaken with the stated purpose of
preventing and punishing genocide, are in conformity with the Genocide
Convention, such dispute falls squarely within the scope of
Article IX of the Convention” (Declaration of intervention of Germany,
paras. 30 and 36; for additional examples see Declaration of intervention
of Bulgaria, para. 21; Declaration of intervention of the Czech
Republic, para. 26; Declaration of intervention of Lithuania, para. 16).
18. Moreover, some of the Declarations explicitly disregard the distinction
between jurisdiction and merits, addressing both “preliminary and
substantive elements”, even after the Court suspended the proceedings on
the merits (Joint Declaration of intervention of Canada and the Netherlands,
para. 9; see also Declaration of intervention of Luxembourg, paras. 19-46;
Declaration of intervention of Norway, paras. 13-33). Indeed, the submissions
of some declarant States apparently extend far beyond the construction
of the Genocide Convention, directly making arguments on the merits of the
case.
19. For instance, some declarant States assert that the Russian Federation
has violated Article I of the Genocide Convention or the Court’s Order of
16 March 2022 on provisional measures. Illustratively, Ireland posits that
“the Russian Federation has failed to comply with the [provisional measures]
Order of the Court” (Declaration of intervention of Ireland, para. 8).
Spain argues that “Russia has failed to comply with the Order, has intensified
and expanded its military operations on the territory of Ukraine and has
thus aggravated the dispute pending before the Court” (Declaration of
intervention
of Spain, para. 8; for further examples, see also Declaration of
intervention of Latvia, para. 9; Declaration of intervention of Malta, para. 8;
Declaration of intervention of Poland, para. 8; Declaration of intervention of
Slovakia, para. 10; Declaration of intervention of Slovenia, para. 8; Declaration
of intervention of Sweden, para. 10).
20. Some declarant States discuss the jus cogens nature of the obligations
under the Convention or the principle of non-use of force in international law
(see e.g. Declaration of intervention of Belgium, para. 9; Declaration of
intervention of Estonia, para. 13; Declaration of intervention of Greece,
para. 14; Declaration of intervention of Norway, para. 30; Declaration of
intervention of Romania, para. 43). Some declarant States simply make
political statements with regard to the Russian Federation’s “war of aggression
against Ukraine” (Observations on the Admissibility of the Declaration
of intervention under Article 63 of Norway, para. 16; for additional examples,
see Declaration of intervention of Lithuania, paras. 16 and 20;
Declaration of intervention of New Zealand, para. 11; Declaration of
intervention
of Poland, para. 36).
21. Some declarant States refer to the obligation to perform international
obligations in good faith, alleging the Respondent’s “serious misuses of the
allégations de génocide (op. diss. xue) 397
« lorsque, comme en l’espèce, l’objet d’une requête porte sur la question
de savoir si certains actes, tels que des allégations de génocide et des
opérations militaires entreprises dans le but déclaré de prévenir et de
réprimer celui-ci, sont conformes à la convention sur le génocide, ce
différend relève directement de l’article IX de la convention » (déclaration
d’intervention de l’Allemagne, par. 30 et 36 ; pour d’autres exemples,
voir : déclarations d’intervention de la Bulgarie, par. 21 ; de la République
tchèque, par. 26 ; et de la Lituanie, par. 16).
18. En outre, dans leurs écritures, certains États déclarants font ouvertement
fi de la distinction entre la compétence et le fond pour traiter à la fois
de « points liminaires et du fond de l’affaire », même après que la Cour a
suspendu la procédure sur le fond (déclaration d’intervention conjointe du
Canada et des Pays-Bas, par. 9 ; voir également : déclarations d’intervention
du Luxembourg, par. 19-46 ; et de la Norvège, par. 13-33). De fait, il est
manifeste que les arguments de plusieurs d’entre eux sortent largement du
cadre de l’interprétation de la convention sur le génocide et traitent directement
du fond.
19. Certains États déclarants soutiennent, par exemple, que la Fédération
de Russie a violé l’article premier de la convention sur le génocide ou l’ordonnance
en indication de mesures conservatoires rendue par la Cour le
16 mars 2022. L’Irlande affirme ainsi que « la Fédération de Russie n’a pas
respecté l’ordonnance [en indication de mesures conservatoires] rendue par
la Cour » (déclaration d’intervention de l’Irlande, par. 8). L’Espagne fait
valoir que « la Fédération de Russie ne s’est pas conformée aux prescriptions
de l’ordonnance, a intensifié et étendu ses opérations militaires sur le territoire
de l’Ukraine et a ainsi aggravé le différend dont la Cour est saisie »
(déclaration d’intervention de l’Espagne, par. 8 ; pour d’autres exemples, voir
également : déclarations d’intervention de la Lettonie, par. 9 ; de Malte,
par. 8 ; de la Pologne, par. 8 ; de la Slovaquie, par. 10 ; de la Slovénie, par. 8 ;
et de la Suède, par. 10).
20. Certains États déclarants traitent du caractère de jus cogens des obligations
qui découlent de la convention ou du principe de non-recours à la
force que consacre le droit international (voir, par exemple : déclarations
d’intervention de la Belgique, par. 9 ; de l’Estonie, par. 13 ; de la Grèce,
par. 14 ; de la Norvège, par. 30 ; et de la Roumanie, par. 43). Certains n’hésitent
pas à formuler des déclarations politiques, accusant la Fédération de
Russie de « mener une guerre d’agression contre l’Ukraine » (observations
écrites de la Norvège sur la recevabilité de la déclaration d’intervention
déposée par le Gouvernement de la Norvège en vertu de l’article 63 du Statut
de la Cour, par. 16 ; pour d’autres exemples, voir : déclarations d’intervention
de la Lituanie, par. 16 et 20 ; de la Nouvelle-Zélande, par. 11 ; et de la Pologne,
par. 36).
21. Certains États déclarants rappellent que les obligations internationales
doivent être exécutées de bonne foi et reprochent à la défenderesse
398 allegations of genocide (diss. op. xue)
Genocide Convention” and abuse of the law (e.g. Declaration of intervention
of France, para. 21; Declaration of intervention of Romania, para. 18;
Declaration of intervention of the United Kingdom, para. 54; Declaration of
intervention of Germany, para. 40).
22. These statements are apparently not about the construction of the
Convention in accordance with Article 63; the declarant States act as parties
to the dispute.
23. I must point out that, for the reasons stated above, I fully appreciate
and endorse the Court’s statement that it will not consider any arguments
presented by the intervening States on the existence of a dispute between the
Parties, the evidence, the facts, the application of the Convention in the present
case, or rules and principles of international law unrelated to the
construction of the Genocide Convention (Order, para. 84). This position
shows that the Court is also aware of the problems that I have addressed with
regard to these Declarations. This precaution, in my view, is nevertheless not
sufficient to prevent the intervenors from dealing with other aspects of the
case, for it actually still opens an opportunity for the intervening States to
make arguments on the merits of the case, irrespective of whether or not they
will be considered by the Court.
24. The declarant States do not hide the purposes of their interventions.
Virtually all of them make clear their pursuit of two findings by the Court.
The first concerns a “negative declaration” by the Court, namely, that the
Court has jurisdiction to declare the absence of genocide on the part of
Ukraine, with a view to finding that the Russian Federation’s allegation of
genocide is unfounded. The second is that the Genocide Convention does not
authorize or require — or indeed that the Convention prohibits — uses of
force to prevent and punish genocidal acts, with a view to finding that the
Russian Federation has acted contrary to its obligations under the Genocide
Convention.
25. The “relief” sought by the declarant States, in the first place, is not the
proper object of intervention. Secondly, some of those issues are matters that
can only be raised by the Parties or, to be more specific, by the Applicant in
its pleadings. They are matters of substance that have to be examined and
ascertained by the Court in accordance with the provisions of the Convention
on the basis of facts and evidence; they are neither part of the construction of
the Convention, nor for judicial settlement at the present phase.
III. The Principle of Equality of the Parties
26. I agree with the majority’s position that the Respondent’s objections to
the admissibility of the Declarations of intervention on the grounds of
political motivation and abuse of process are unfounded (Written
Observations of the Russian Federation on the Admissibility of the
allégations de génocide (op. diss. xue) 398
« de graves détournements de la convention [sur le génocide] » et un abus
de droit (par exemple, déclarations d’intervention de la France, par. 21 ; de
la Roumanie, par. 18 ; du Royaume-Uni, par. 54 ; et de l’Allemagne, par. 40).
22. Il semble que, ce faisant, les États déclarants ne s’expriment pas sur
l’interprétation de la convention, comme le prévoit l’article 63, mais interviennent
en tant que parties au différend.
23. Il me faut souligner que, pour les raisons indiquées ci-dessus, je
comprends et approuve pleinement la décision de la Cour de ne pas examiner
les arguments présentés par les États intervenants quant à l’existence d’un
différend entre les Parties, aux éléments de preuve, aux faits, à l’application
de la convention en l’espèce, ou aux règles et principes de droit international
qui ne concernent pas l’interprétation de la convention sur le génocide
(ordonnance, par. 84). Cette position montre que la Cour a elle aussi
conscience des vices qui entachent ces déclarations, tels que je viens de les
exposer. Toutefois, cette précaution ne suffit pas, selon moi, à empêcher les
États intervenants de traiter d’autres aspects de l’affaire, puisqu’il leur reste
permis, de fait, de présenter des arguments de fond, que la Cour entende ou
non les examiner.
24. Les États déclarants ne cachent pas le but de leurs interventions,
puisque presque tous ont clairement fait savoir qu’ils cherchaient à obtenir de
la Cour deux décisions. Ils lui demandent d’abord de prononcer un « jugement
déclaratoire négatif » à l’effet de se reconnaître compétente pour
constater l’absence de génocide attribuable à l’Ukraine, de sorte qu’elle
puisse conclure que l’allégation de génocide formulée par la Fédération de
Russie est dénuée de fondement. Ils la prient ensuite de dire que la convention
sur le génocide ne saurait ni permettre ni prescrire aux États — voire
qu’elle leur interdit — de recourir à la force pour prévenir et réprimer les
actes de génocide, et, partant, que la Fédération de Russie a agi contrairement
aux obligations que lui impose cet instrument.
25. En premier lieu, le « remède » sollicité par les États déclarants n’est
pas l’objet légitime de l’intervention. Ensuite, certaines de ces questions sont
de celles qui ne peuvent être soulevées que par les Parties ou, plus précisément,
par la demanderesse dans ses écritures. Il s’agit de questions de fond
qu’il appartient à la Cour d’examiner et d’apprécier conformément aux
dispositions de la convention, sur la base de faits et d’éléments de preuve ;
elles ne relèvent pas de l’interprétation de la convention et ne sont pas
susceptibles de règlement judiciaire au stade actuel de la procédure.
III. Le principe de l’égalité des parties
26. Je conviens avec la majorité que les objections que la défenderesse
oppose à la recevabilité des déclarations d’intervention au motif que
celles-ci servent un but politique et constituent un abus de procédure sont
dénuées de fondement (observations écrites de la Fédération de Russie sur
399 allegations of genocide (diss. op. xue)
Declarations of intervention, 24 March 2023, paras. 15-45, 64-74). The
Court should nevertheless pay more attention to the application of the principle
of equality of the parties in the present case.
27. In the Whaling case, although there was only one State seeking to
intervene, the close relationship between one party and the intervenor
already raised some concern. Judge Owada observed that
“[i]t is regrettable that a State party to a case before the Court and a State
seeking to intervene in that case pursuant to Article 63 of the Statute
should engage in what could be perceived as active collaboration in litigation
strategy to use the Court’s Statute and the Rules of Court for the
purpose of promoting their common interest, as is candidly admitted in
their Joint Media Release of 15 December 2010” (Whaling in the Antarctic
(Australia v. Japan), Declaration of Intervention of New Zealand,
Order of 6 February 2013, I.C.J. Reports 2013, declaration of
Judge Owada, p. 12, para. 5).
28. Although the Court seldom addresses the motivation of a State for
coming to the Court, either as a party to a dispute or as a third State invoking
an incidental proceeding, the overwhelming number of the declarant States
in the present case that all stand on one side of the Parties and argue for the
same cause and the same purpose should not be taken lightly and treated as
a normal situation of intervention under Article 63. Virtually all of these
declarant States are among the States that, together with the European
Union, collectively issued the “Joint Statements” on 20 May 2022 and 13 July
2022. In the said statements, it is explicitly stated that these States would
mobilize political support to Ukraine against the Russian Federation by
intervening in these proceedings and explore “all options to support Ukraine
in its proceedings before the ICJ” (Joint Statement by 41 States and the
European Union on Ukraine’s Application against Russia at the International
Court of Justice, 20 May 2022; Joint Statement by 43 States and the European
Union on Ukraine’s Application against Russia at the International Court of
Justice, 13 July 2022). Although their right to intervene under Article 63
remains intact notwithstanding the joint statements, the declarant States are
in fact, to borrow Judge Owada’s words, engaging in “an active collaboration
of litigation strategy”. These legal actions would certainly lend strong
political support to the Applicant and at the same time exert political pressure
on the Court to entertain the case.
29. Good administration of justice and equality of the parties are two
fundamental principles that must guide the judicial process. Under the
circumstances of the present case, the Court, in considering the admissibility
of the Declarations of intervention, should not lose sight of the imbalance
between the Parties and the impact of the interventions on the judicial
proceedings. As discussed before, confining Article 63 intervention to
substantive provisions at the merits phase would ensure that the intervening
States will not deal with the merits of the case before the Court has
allégations de génocide (op. diss. xue) 399
la recevabilité des déclarations d’intervention, 24 mars 2023, par. 15-45,
64-74). La Cour devrait toutefois accorder davantage d’attention au respect
du principe de l’égalité des parties en l’espèce.
27. Dans l’affaire relative à la Chasse à la baleine, un seul État avait
demandé à intervenir, mais le lien étroit qui l’unissait à l’une des parties était
déjà source d’inquiétude. Comme l’a observé le juge Owada,
« [i]l est regrettable de voir un État partie à une instance devant la Cour
et un autre État cherchant à intervenir dans la même affaire au titre de
l’article 63 du Statut se livrer à ce qui pourrait passer pour une concertation
en vue de tirer avantage du Statut et du Règlement de la Cour pour
promouvoir leur intérêt commun, et dont le communiqué de presse
conjoint du 15 décembre 2010 constitue l’aveu pur et simple » (Chasse à
la baleine dans l’Antarctique (Australie c. Japon), déclaration d’intervention
de la Nouvelle-Zélande, ordonnance du 6 février 2013, C.I.J.
Recueil 2013, déclaration du juge Owada, p. 12, par. 5).
28. La Cour s’intéresse rarement aux motivations qui conduisent un État
à se présenter devant elle, que ce soit en tant que partie à un différend ou en
tant que tiers intervenant dans le cadre d’une procédure incidente. Toutefois,
en l’espèce, le nombre écrasant d’États déclarants qui se rangent tous aux
côtés de l’une des Parties et plaident la même cause, dans le même but, ne
doit pas être pris à la légère et considéré comme la norme en matière d’intervention
au titre de l’article 63. La quasi-totalité de ces États figurent parmi
ceux qui, de concert avec l’Union européenne, ont publié les « déclarations
communes » en date des 20 mai et 13 juillet 2022, dans lesquelles ils expriment
sans ambages leur intention de manifester leur soutien politique à
l’Ukraine contre la Fédération de Russie en intervenant dans la présente
instance, et d’examiner « toutes les options pour soutenir l’Ukraine dans sa
requête devant la CIJ » (déclaration commune de 41 États et de l’Union européenne
sur la requête de l’Ukraine contre la Russie devant la Cour
internationale de Justice, 20 mai 2022 ; déclaration commune de 43 États et
de l’Union européenne sur la requête de l’Ukraine contre la Russie devant la
Cour internationale de Justice, 13 juillet 2022). Si leur droit d’intervenir en
vertu de l’article 63 n’en est pas entamé, les États déclarants se livrent de fait,
pour reprendre le terme employé par le juge Owada, à une « concertation »
qui pourrait assurément leur permettre d’apporter un soutien politique considérable
à la demanderesse tout en exerçant une pression politique sur la Cour
pour qu’elle connaisse du différend.
29. La bonne administration de la justice et l’égalité des parties sont deux
principes fondamentaux qui doivent guider la procédure judiciaire. Dans le
cas d’espèce, la Cour, pour apprécier la recevabilité des déclarations d’intervention,
ne doit pas perdre de vue le déséquilibre entre les Parties et
l’incidence des interventions sur le déroulement de l’instance. Comme il a
été exposé précédemment, limiter les interventions fondées sur l’article 63
aux dispositions substantielles examinées au stade du fond permettrait
de veiller à ce que les États intervenants ne s’expriment pas sur le fond de
400 allegations of genocide (diss. op. xue)
established its jurisdiction and decided that the Application is admissible.
It would avoid the situation where the intervenors may be afforded two hearings
to present their views on the merits. This is a fair approach for both
Parties. In essence, this position would not in any way prejudice the right
of the States parties to intervene under Article 63 of the Statute. I regret that
the present decision does not duly take those aspects into account. As is
often said, it is not enough that justice is done. Justice must also appear to be
done.
(Signed) Xue Hanqin.
___________
allégations de génocide (op. diss. xue) 400
l’affaire avant que la Cour ait établi sa compétence et déclaré la requête recevable.
Cela éviterait d’accorder deux séries d’audiences aux intervenants afin
de leur permettre de présenter leurs vues sur le fond. Une telle approche
serait équitable à l’égard des deux Parties. En substance, cette position ne
porterait nullement atteinte au droit d’intervenir que l’article 63 du Statut
confère aux États parties. Je déplore que la présente décision ne tienne pas
dûment compte de ces aspects. Comme il est souvent dit, il ne faut pas seulement
que justice soit faite ; il faut encore qu’elle soit vue comme telle.
(Signé) Xue Hanqin.
___________
Dissenting opinion of Judge Xue