42
Report of the International Law Commission on the work of its fifty-third session
(10) The reasons for this position are reinforced by the
fact that federal States vary widely in their structure and
distribution of powers, and that in most cases the constituent units have no separate international legal personality
of their own (however limited), nor any treaty-making
power. In those cases where the constituent unit of a federation is able to enter into international agreements on its
own account,120 the other party may well have agreed to
limit itself to recourse against the constituent unit in the
event of a breach. In that case the matter will not involve
the responsibility of the federal State and will fall outside
the scope of the present articles. Another possibility is that
the responsibility of the federal State under a treaty may
be limited by the terms of a federal clause in the treaty.121
This is clearly an exception to the general rule, applicable
solely in relations between the States parties to the treaty
and in the matters which the treaty covers. It has effect
by virtue of the lex specialis principle, dealt with in article 55.
(11) Paragraph 2 explains the relevance of internal law
in determining the status of a State organ. Where the law
of a State characterizes an entity as an organ, no difficulty
will arise. On the other hand, it is not sufficient to refer to
internal law for the status of State organs. In some systems
the status and functions of various entities are determined
not only by law but also by practice, and reference exclusively to internal law would be misleading. The internal law of a State may not classify, exhaustively or at all,
which entities have the status of “organs”. In such cases,
while the powers of an entity and its relation to other bodies under internal law will be relevant to its classification
as an “organ”, internal law will not itself perform the task
of classification. Even if it does so, the term “organ” used
in internal law may have a special meaning, and not the
very broad meaning it has under article 4. For example,
under some legal systems the term “government” refers
only to bodies at the highest level such as the Head of
State and the cabinet of ministers. In others, the police
have a special status, independent of the executive; this
cannot mean that for international law purposes they are
not organs of the State.122 Accordingly, a State cannot
avoid responsibility for the conduct of a body which does
in truth act as one of its organs merely by denying it that
status under its own law. This result is achieved by the use
of the word “includes” in paragraph 2.
(12) The term “person or entity” is used in article 4,
paragraph 2, as well as in articles 5 and 7. It is used in a
broad sense to include any natural or legal person, including an individual office holder, a department, commission
or other body exercising public authority, etc. The term
“entity” is used in a similar sense123 in the draft articles
120 See, e.g., articles 56, paragraph 3, and 172, paragraph 3, of the
Constitution of the Swiss Confederation of 18 April 1999.
121 See, e.g., article 34 of the Convention for the Protection of the
World Cultural and Natural Heritage.
122 See, e.g., the Church of Scientology case, Germany, Federal Supreme Court, Judgment of 26 September 1978, case No. VI ZR 267/76,
Neue Juristische Wochenschrift, No. 21 (May 1979), p. 1101; ILR,
vol. 65, p. 193; and Propend Finance Pty Ltd. v. Sing, England, Court of
Appeal, ILR, vol. 111, p. 611 (1997). These were State immunity cases,
but the same principle applies in the field of State responsibility.
123 See Yearbook … 1991, vol. II (Part Two), pp. 14–18.
on jurisdictional immunities of States and their property,
adopted in 1991.
(13) Although the principle stated in article 4 is clear
and undoubted, difficulties can arise in its application.
A particular problem is to determine whether a person
who is a State organ acts in that capacity. It is irrelevant
for this purpose that the person concerned may have had
ulterior or improper motives or may be abusing public power. Where such a person acts in an apparently
official capacity, or under colour of authority, the actions
in question will be attributable to the State. The distinction between unauthorized conduct of a State organ and
purely private conduct has been clearly drawn in international arbitral decisions. For example, the award of the
Mexico-United States General Claims Commission in the
Mallén case involved, first, the act of an official acting in
a private capacity and, secondly, another act committed
by the same official in his official capacity, although in an
abusive way.124 The latter action was, and the former was
not, held attributable to the State. The French-Mexican
Claims Commission in the Caire case excluded responsibility only in cases where “the act had no connexion with
the official function and was, in fact, merely the act of a
private individual”.125 The case of purely private conduct
should not be confused with that of an organ functioning
as such but acting ultra vires or in breach of the rules
governing its operation. In this latter case, the organ is
nevertheless acting in the name of the State: this principle
is affirmed in article 7.126 In applying this test, of course,
each case will have to be dealt with on the basis of its own
facts and circumstances.
Article 5. Conduct of persons or entities exercising
elements of governmental authority
The conduct of a person or entity which is not an
organ of the State under article 4 but which is empowered by the law of that State to exercise elements of
the governmental authority shall be considered an act
of the State under international law, provided the person or entity is acting in that capacity in the particular
instance.
Commentary
(1) Article 5 deals with the attribution to the State of
conduct of bodies which are not State organs in the sense
of article 4, but which are nonetheless authorized to
exercise governmental authority. The article is intended
to take account of the increasingly common phenomenon
of parastatal entities, which exercise elements of governmental authority in place of State organs, as well as
situations where former State corporations have been privatized but retain certain public or regulatory functions.
124
Mallén (see footnote 117 above), at p. 175.
UNRIAA, vol. V (Sales No. 1952.V.3), p. 516, at p. 531 (1929).
See also the Bensley case in Moore, History and Digest, vol. III, p. 3018
(1850) (“a wanton trespass … under no color of official proceedings,
and without any connection with his official duties”); and the Castelain
case ibid., p. 2999 (1880). See further article 7 and commentary.
126 See paragraph (7) of the commentary to article 7.
125