On Compliance notes

Citation and Context

  • Authors: Abram Chayes and Antonia Handler Chayes

  • Source: International Organization, Vol. 47, No. 2 (Spring, 1993), pp. 175-205

  • Published by: MIT Press

  • Stable URL: JSTOR Link

  • Accessed: 15/01/2012

Introduction to Compliance

  • Definition of Compliance: Fundamental aspect of international relations includes negotiation, adoption, and implementation of treaties.

  • Types of Agreements: Vary in formality and scope; includes bilateral, multilateral, regional, and universal agreements.

  • Focus Areas: Security, economics, and environmental agreements, with treaties as structural elements in regulatory regimes.

  • Research Basis: Supported by Pew Charitable Trust and Carnegie Corporation, building a dialogue between international law and relations.

Compliance Dynamics

  • General Compliance Assessment: Empirical verification of compliance is complex, relying on assumptions rather than concrete data.

  • Assumptions on Compliance:

    • General assumption that states comply generally.

    • Assumption that violations occur when in state's interest, lack of empirical support for these claims.

Factors Influencing Compliance

Reasons for Noncompliance

  • Not Deliberate Violations: Deviations often arise from:

    • Ambiguity in treaty language.

    • Limitations in capacity to fulfill obligations.

    • Social and economic changes over time.

  • Acceptable Compliance Levels: Treaties should be evaluated based on overall compliance rather than strict adherence.

Background Assumptions in Compliance Studies

  • Toolkit of Assumptions:

    • Compliance viewed as a norm, influenced by legal obligations.

    • Importance of compliance rooted in national interests and international norms.

    • General propensity among states to comply with treaties.

Mechanisms for Improving Compliance

Efficiency of Resource Use

  • Compliance requires efficient use of governmental resources for policy and analysis.

  • Bureaucracy’s role in maintaining routines and standard operating procedures favors compliance.

Interests in Compliance

  • States enter treaties aligning with their interests, influencing both negotiation and compliance.

  • Internal Negotiations: Complex interagency processes shape national positions on treaties, which evolve over time.

The Role of Norms

  • Legal Norms: Norms guide state behavior; treaties become part of law once ratified and legally binding under international law.

  • Pacta sunt servanda: Fundamental norm that treaties should be obeyed, embedded in international law.

Varieties of Noncompliance

Types of Noncompliance Behavior

  • Deliberate Noncompliance: Often seen in cases where a state decides not to comply post-signature.

  • Defenses Against Noncompliance:

    • Ambiguity in treaty texts.

    • Capacity limits affecting implementation.

    • Transition periods for compliance.

Conclusion and Future Considerations

Framework for Understanding Compliance

  • Enhancing Understanding: Focus on managing compliance through political processes rather than punitive measures.

  • Jawboning: Informal enforcement through persuasion and reasoned discussion among states, evolving into concrete compliance norms.

  • Adaptable Frameworks: Treaties must possess mechanisms allowing them to adapt to changing international contexts and needs for enforcement.