THE PENNSYLVANIA STATE UNIVERSITY SCHREYER HONORS COLLEGE SCHOOL OF HUMANITIES AND SOCIAL SCIENCES CATEGORIZING MULTILATERAL TREATIES BY SUBJECT CHRISTINE M. GIULIANO Spring 2010 A thesis submitted in partial fulfillment of the requirements for a baccalaureate degree in Accounting with honors in Political Science Reviewed and approved* by the following: John K. Gamble Distinguished Professor of Political Science and International Law Thesis Supervisor and Honors Adviser Robert W. Speel Associate Professor of Political Science Second Reader * Signatures are on file in the Schreyer Honors College. i ABSTRACT This thesis explores the issues surrounding topic (subject) categories of treaties (e.g., economic, environmental, and humanitarian) and their application. The focus is on multilateral treaties and improving the topic categorization system in the Comprehensive Statistical Database of Multilateral Treaties (CSDMT). First, approaches to categorizing bodies of information are discussed, and then the categorization system of the CSDMT is explained, highlighting the problems. Existing categorization systems from treaty compilations are examined, and a new system for the CSDMT is detailed. After implementation of the new system, results are presented followed by additional suggestions. Extensive graphs and data tables are provided. ii TABLE OF CONTENTS Chapter 1. Introduction……………………………………………………………………………1 Chapter 2. Previous CSDMT System……………………………………………………………..3 Figure 1: Previous CSDMT Broad Categories (Level 3)………………………………….7 Figure 2: Previous CSDMT Mid Categories (Level 2)……………………………………8 Figure 3: Previous CSDMT Broad Categories (Level 3) by Laterality…………………...9 Figure 4: Previous CSDMT Broad Categories (Level 3) by Laterality………………….10 Figure 5: Previous CSDMT Broad Categories (Level 3) with IGO Involvement……….11 Figure 6: Previous CSDMT Broad Categories (Level 3) by Time Period……………….12 Figure 7: Previous CSDMT Broad Categories (Level 3) by Time Period…………….…13 Chapter 3. Existing Systems…………………………………………………………………..…14 3.1 United Nations (UN)…………………………………………………………………15 3.2 United States (US)……………………………………………………………….......17 3.3 Canada………………………………………………………………………………..18 3.4 Australia……………………………………………………………………………...19 3.5 EISEL………………………………………………………………………………...22 Chapter 4. Objectives and Approaches for Categorizing………………………………………...24 Chapter 5. New CSDMT System………………………………………………………………...26 5.1 Rules and Criteria……………………………………………………………………26 5.2 Type and Design of System………………………………………………………….28 5.3 Analysis Using the New System……………………………………………………..31 Figure 8: CSDMT Broad (1) Categories…………………………………………32 Figure 9: CSDMT Broad (1) Categories by Laterality…………………………..33 Figure 10: CSDMT Broad (1) Categories by Laterality…………………………33 Figure 11: CSDMT Broad (1) Categories with IGO Involvement………………34 Figure 12: CSDMT Broad (1) Categories by Time Period……………………....35 Figure 13: CSDMT Broad (1) Categories by Time Period……………………....36 Figure 14: CSDMT Broad (2) Categories………………………………………..37 Figure 15: CSDMT Broad (1) and Broad (2) Categories………………………..38 Chapter 6. Additional Suggestions and Conclusion……………………………………………..39 iii References………………………………………………………………………………………..42 Appendix 1: Previous CSDMT Categorization System………………………………………….44 Appendix 2: Previous CSDMT Categorization System Sorted by Level 2……………………...50 Appendix 3: New CSDMT Categorization System……………………………………………...56 Appendix 4: Data Tables to All Graphs………………………………………………………….58 Endnotes………………………………………………………………………………………….61 1 Chapter 1. Introduction As one of the main sources of international law, treaties are ubiquitous and deal with an enormous range of subjects. Most treaties are bilateral, meaning between two parties, but roughly 6,000 (about ten percent) of treaties are multilateral, those among at least three parties. Treaties are enormously diverse ranging from unimportant technical dealings between/among only a few countries while other treaties seek universal participation and may involve prominent issues. 1 Scholars attempt an accurate assessment of what international law governs, its effectiveness, and its impacts. Since treaties are one of the main sources of international law, studying the issues they deal with would help this quest. Categorizing treaties by topics such as economic, environmental, human rights, etc. is one way to understand the range and reach of treaties. Although a considerable amount of work and research have been done about treaties, the issues surrounding the categorization of treaties by topics have received relatively less attention. Most studies about treaties deal with a subset or specific area such as environmental law 2 rather than a study about all types of treaties. Therefore, a broad investigation of treaty topics is important. An underlying obstacle to studying international law as manifest in treaties is carefully choosing how many and what kind of treaties to analyze. This is challenging for bilaterals because there have been too many and finding them all is impossible. Attempts have been made for multilaterals. Some are overall successful, but none have been able to find, view, and store every text. That being said, this thesis focuses on studying topic categories of multilateral treaties by using the Comprehensive Statistical Database of Multilateral Treaties (CSDMT) 3; bilateral are excluded. The CSDMT contains selected information for nearly all known multilateral treaties from the 1500s 4 to present day. However, some multilateral treaties that 2 have been signed in the past few years but not yet in force are not presently in the database along with a few that may have eluded scholars. Although the CSDMT does not contain texts, it does provide an extensive set of data taken from the text of each treaty. The initial treaties in the CSDMT were identified from the Multilateral Treaty Calendar 1648-1995. 5 Beginning with the Peace of Westphalia 6, this book contains entries for nearly every multilateral treaty signed before 1996. It is not a collection of texts; only selected information is provided for each instrument. Each entry contains information such as signature dates, entry into force dates, titles, treaty text location, and parties. The CSDMT is very similar in concept but has gone far beyond the scope of the Calendar by adding new treaties, omitting certain instruments, and locating each treaty to add new information (variables). The process of putting treaties in the CSDMT involves finding the text, reading through it, and then pulling out desired information; the term used is “coding” a treaty. The CSDMT uses topic categories for each entry, but the categorization system needed improvements; the goal here was to develop a new system. First, the previous CSDMT system is described explaining why improvements were necessary. Then, other existing treaty categorization systems are discussed; objectives and approaches for categorizing information are explored; and a new system is designed and implemented followed by additional considerations. 3 Chapter 2. Previous CSDMT System Because I have been actively involved in the CSDMT 7, the previous categorization system is very transparent. The method was three-tiered meaning levels of categories getting broader with each level. The first level contains fairly specific categories while the second contains broader topics, and the third has the broadest topics. The first, second, and third levels have 268, 17, and seven category choices, respectively. However, a chart is used that contains predetermined second and third level choices; the categories come in sets of three. Topics were assigned to each treaty in the database by first choosing an appropriate first level category from the list (chart). The second and third level categories were simply chosen by horizontally following the chart and using what was already there; no guesswork was required for the second and third levels. The chart is provided in Appendix 1. The first level terms were taken from the Calendar 8 which gives every instrument a subject category. For treaties both in the Calendar and the CSDMT, first level subject categories match those in the Calendar; they are the same. For those treaties in the CSDMT but not the Calendar, first level terms were chosen from the list. Initially, this was the extent of the categorization system used in the CSDMT. Later on, though, students added the second and third levels to the categorization system. While the idea of a tiered system was good, the execution was flawed both in design and implementation. The subject terms taken from the Calendar are often inconsistent and the creation of the second and third level terms was not wellplanned. Furthermore, treaties in the CSDMT but not the Calendar were assigned subject categories somewhat haphazardly and often were “forced” into categories that fail to represent a treaty’s aim(s). In understanding the above-stated problems, the starting point is the first level terms 4 taken from the Calendar. The obvious question of where these terms came from is not fully answered: The subjects assigned follow those used by the U.S. State Dept., Treaty Office, slightly modified, by subjects employed by the United Nations in its treaty publications. Additional subjects are assigned when needed. Treaties dealing with international organizations are listed preferably under the subject of the organization’s main activity, except for those of general nature, such as the United Nations and specialized agencies, which are classified under “International Organizations.” 9 Although the Calendar does not give the specific publications used, the subjects from Treaties in Force (TIF) 10 and the subject matters on the previous United Nations (UN) Web site search tab 11 were compared to the Calendar’s subjects. Depending on how strictly the phrase “slightly modified” (above) is applied, approximately 150 of the 268 subjects in the Calendar are either verbatim or modified from TIF and the UN. About half came from the US and/or UN. These subjects contain two types of inconsistencies: 1) terms are not “on the same level” regarding specificity and 2) similar terms create confusion. The first inconsistency is easily explained by using an obvious example from the list. The first level contains “Cocoa,” “Coffee,” “Sugar,” “Tea,” “Agricultural Commodities,” and “Commodities.” These terms are not “at the same level” because cocoa, coffee, sugar, etc. are all in fact commodities. Besides commodities, another example of this overlap is “Animals,” “Birds,”, “Nature”, and “Wildlife Preservation.” The second inconsistency was a more pervasive problem. For instance, here are the titles of five subjects: “Economic and Social Development”, “Economic and Technical Development”, “Economic Assistance and Development”, “Economic Cooperation”, and “Economic Integration.” If trying to use a subject, how would one choose among these, especially deciding 5 between “Economic and Social Development” and “Economic Assistance and Development”? Another example is “Peace,”, “Peaceful Relations,” and “Peacekeeping.” Without an enormous amount of work, deciphering this terminology is impossible. Another issue with the first level terms is that they have not been applied consistently when it comes to treaties that are in both the Calendar and the CSDMT and treaties in the CSDMT but not the Calendar. For example, the Anti-doping Convention 12 is in both the Calendar and the CSDMT. It was assigned the subject category of “Sports.” The Amendment to the Appendix of the Anti-doping Convention 13, however, is one of the treaties in the CSDMT that was signed after the Calendar’s publication. It was assigned the subject category of “Drugs.” Looking at both of these treaties reveals that they have a very similar subject matter; the Appendix basically lists specific, prohibited substances. It would make much more sense if they had the same topic category. The CSDMT appears to have developed the second and third level categories somewhat haphazardly. Aside from the design flaw of creating a system where the second and third levels are “predetermined,”—meaning the chart must be followed and the second and third level terms to the right of the chosen first level term are used—many of the second and third level terms are repetitive. The idea behind the second and third levels was to offer categories that would show in broader terms what multilateral treaties deal with as compared to the specific, narrow terms of the first level. The second level would be broader than the first, and the third level would be the broadest of all. This would allow for analysis of the broad topics of multilateral treaties. However, the repetition reduces the value of this approach. Examples of this repetition include the fact that all treaties with “Environment” for the second level category also have “Environment” as the third level. Another example is that 6 treaties with “Cultural Matters” for the second level have “Cultural” as the third level; no other treaties have “Cultural” for the broadest level. There are many more examples, but one in particular deals with repetition of terms between levels one and two instead of two and three: “Commodities” is used in both levels one and two. Appendix 2 provides a list of the previous CSDMT categorization system sorted by the second level; just glancing at this sorted list reveals the repetition. Analysis of the third level (broadest categories) was conducted prior to changing the above-described system. Graphs were made to illustrate the different types of information that can be found by assigning and labeling treaties with topic categories. Before illustrating these issues via the graphs, a few preliminary issues must be discussed. While the CSDMT contains nearly all multilateral treaties, some of the entries are not actually multilateral treaties. In order for an instrument to be a multilateral treaty, it must meet these criteria: 1) have three or more parties, 2) be in force, and 3) have the binding legality of a treaty. A trend in treaty-making is Intergovernmental Organizations (IGOs) 14 themselves being parties, meaning that IGOs have legal personality. However, their legal personality was not always recognized. 15 So, for treaties with one state as a party and an IGO as the other, there can be a disagreement as to whether the IGO itself is a party or if the states comprising the IGO are the parties. If in fact the IGO itself is a party, the treaty is considered bilateral. Treaties like this are excluded from the data used for analyzing/making graphs. 16 If a treaty is not in force, then obviously it should not be counted. 17 Sometimes, it is not clear whether or not a treaty has entered into force. For this reason, the CSDMT considers treaties in force if no other information is provided. This is further complicated by the fact that some treaties in the CSDMT are “lapsed,” meaning they were once in force. Treaties not in 7 force are not included in data for analysis purposes except “lapsed” ones because they were once in force. Some entries in the CSDMT are certainly multilateral but not actual treaties. The best way to explain this is to use an example: the Universal Declaration of Human Rights (UDHR). 18 The UDHR is not legally a multilateral treaty. It is just a declaration, not a treaty. Other common names used for instruments that do not rise to the level of treaties are resolutions, joint statements, and joint policies. These also are excluded. Thus, the data set used to create the following graphs excludes any entries in the CSDMT that are not multilateral, in force (with the “lapsed” exception), or actual treaties. The graph below is a simple pie chart showing the distribution of the broad categories (Level 3) in the CSDMT. Perhaps the most significant item here is that economic multilateral treaties account for over 40% of all multilateral treaties. Figure 1: Previous CSDMT Broad Categories (Level 1) Cultural 2% Political/Diplomatic 28% Economic 43% Other 8% Military 5% Humanitarian 8% Environment 6% 8 The second graph is another pie chart but is of the mid-level categories (Level 2). It is more difficult to interpret due to a more cluttered graph. When considering this graph with the one above, some of the problems with the previous CSDMT categorization system are evident. For example, in the above-graph, “Humanitarian” treaties account for eight percent. However, in the mid-level graph (below) “Humanitarian” accounts for only six percent. One might assume that “Humanitarian” is the same in both category levels. While they both refer to treaties with similar goals, the tiered system means that some treaties with something other than “Humanitarian” in the mid-level are “Humanitarian” in the broad level. This is not surprising, but the graphs reveal how confusing it can be. Figure 2: Previous CSDMT Mid Categories (Level 2) Commodities Cultural Matters 4% 1% Diplomatic Matters 6% Territory 3% Transportation and Communication 16% Space 1% Science 2% Other 6% Economics/Trade 21% Military 5% Maritime/Ocean Legal Relations Matters 13% 7% Intellectual Property 1% Environment 2% Foreign Aid/Assistance 3% Humanitarian Health 6% 2% 9 The next two graphs introduce another variable: laterality. Laterality refers to whether a multilateral treaty is general or plurilateral. General treaties aim for universal participation while plurilateral treaties restrict participation through subject matter, geography, or both. Usually the determination of “general” or “plurilateral” is clear. The graphs show the broad categories (Level 3) in relation to laterality. The difference is that the first shows this relationship in terms of quantity while the second presents the information in percentage terms. Most mulitlaterals are plurilateral. It is no surprise that most of the categories contain more plurilateral treaties than general with a striking exception in the core at “Humanitarian” treaties (about 55% of these are general). Figure 3: Previous CSDMT Broad Categories (Level 3) by Laterality 2500 2000 1500 1000 General Plurilateral 500 0 10 Figure 4: Previous CSDMT Broad Categories (Level 3) by Laterality 100% 90% 80% 70% 60% 50% 40% 30% 20% 10% 0% Plurilateral General The graph below also uses another variable in connection to the broad categories (Level 3): the IGO variable. The CSDMT has a variable entitled “IGO” to keep track of multilateral treaties and their connections to intergovernmental organizations. The IGO variable currently has three values (or choices): “creates,” “mod/dest,” and “no relation.” IGOs are created by multilateral treaties. A treaty that creates an IGO would be labeled as “creates.” The meaning of “mod/dest” has been inconsistently applied. The current understanding is that these treaties either modify an IGO or are an action by an IGO. “Dest” was used to mean discontinuing an IGO. “No relation” is a little misleading as many treaties have some indirect relation or mention of an IGO, especially the UN. So, this variable is in some ways chosen by elimination; if a treaty does not create, modify, or is not a direct action by an IGO, it is labeled as “no relation.” Because of the confusion with this variable, the graph does not distinguish among all three values; the graph accounts for treaties that have direct involvement of some sort. The pie chart 11 represents the distribution of broad categories (Level 3) of only treaties with IGO involvement. In other words, any treaty labeled as “no relation” for the IGO variable is excluded from the graph. Figure 5: Previous CSDMT Broad Categories (Level 3) with IGO Involvement Cultural 1% Political/Diplomatic 39% Other 10% Military 3% Economic 39% Environment Humanitarian 3% 5% The next graph displays broad categories (Level 3) with respect to time periods. Because there were very few multilateral treaties from 1500 to the beginning of the twentieth century, those treaties are in one time period and even time periods do not begin until 1900 and are in 20year increments. Data for years 2000 through 2007 is incomplete but still shown on the graph. The CSDMT is still “playing catch up” to the current year, and treaties are only added when made available by the UN. Typically, this done via the UN’s Web site, but there is a time lag from when a multilateral treaty enters into force and is either on the UN’s Web site or is published in UNTS. One important trend highlighted in this graph is the fact that multilateral treaty-making increased during the middle of the twentieth century but has since declined slightly thereafter. 12 Figure 6: Previous CSDMT Broad Categories (Level 3) by Time Period 1800 1600 1400 1200 Political/Diplomatic 1000 Other Military Humanitarian 800 Environment Economic Cultural 600 400 200 0 1500-1899 1900-1919 1920-1939 1940-1959 1960-1979 1980-1999 2000-2007 13 The last graph also uses time periods with broad categories (Level 3). However, categories within each time period as viewed in percentage terms rather than actual numbers of treaties. Two findings are especially clear from the graph: 1) the percentage of political/diplomatic treaties in each time period has generally declined over time and 2) the percentage of economic treaties in each time period has remained relatively the same, especially since 1920 (similar to the trend for cultural treaties). Figure 7: Previous CSDMT Broad Categories (Level 3) by Time Period 100% 90% 80% 70% Political/Diplomatic 60% Other Military 50% Humanitarian Environment 40% Economic Cultural 30% 20% 10% 0% 1500-1899 1900-1919 1920-1939 1940-1959 1960-1979 1980-1999 2000-2007 14 Chapter 3. Existing Systems Before designing a new topic categorization system, existing treaty compilations that use topic categories were reviewed to find different ways/methods of categorizing treaties by topics. This examination revealed that current methods for assigning topic categories are difficult to assess and usually inadequate. Compilations are neither descriptive nor transparent about the origin of topic categories and how values are assigned. They demonstrate problems with topic categorization. An important point to keep in mind, though, is that the purpose of categories in treaty compilations is mainly to find treaties, not understanding the subject contours of international law. As mentioned in the Introduction (Chapter 1), understanding international law through treaties is difficult because one must be certain you are dealing with a representative sample of treaties. There are too many bilaterals but the task for multilaterals is manageable. That being said, the most comprehensive compilation of treaties, both bilateral and multilateral, is the United Nations Treaty Series (UNTS). Treaty series typically contain texts, but other compilations only have selected information such as head note, signature date, and entry into force. In other words, some efforts are little more than lists of treaties and dates. There are also publication and research centers that contain detailed information about a subset of treaties, e.g., environmental treaties. The term “treaty compilation” is used generally herein and refers to publications, whether print or Web based, which compile treaties and/or information about treaties. 3.1 United Nations (UN) The UN uses categories for treaties, but understanding the approach can be confusing. The primary treaty publication for the UN is the above-mentioned United Nations Treaty Series 15 UNTS, which comes in volumes. Treaties tend to be arranged in each volume by the date of registration or publication. While each treaty is not explicitly labeled with a topic category in the UNTS itself, the UN has other publications that use topic categories. 19 In addition, its online database offers a search function that uses subjects (categories). The most recent and available online version of Multilateral Treaties Deposited with the Secretary-General (MTDSG) is dated 2006. 20 This provides status information such as force date and parties as well as the text of reservations, declarations, and objections for all multilateral treaties deposited with the Secretary-General. The two-volume publication comes divided into two parts. Volume I contains Part I and Volume II contains the remainder of Part I and Part II in its entirety. Part I is divided into chapters that are given a topic, or theme. Part II is comprised of information from the last League of Nations status-type publication. 21 There is also an Index guide that lists topics alphabetically with chapter references. These topics include both the chapter titles (or modified chapter titles) and a more expansive, specific list. 22 For example, “Navigation” is the title for Chapter XII and listed in the index.23 Sometimes the chapter title is shortened in the index such as Chapter XVII title “Freedom of Information” and index category “Information.” 24 Chapter IV’s title is “Human Rights”; while this is also listed in the index, so is “Death Penalty”, which is not a chapter title but the reference given is Chapter IV. 25 “Death penalty” is viewed as a more specific area under “Human Rights.” The Treaty Series Cumulative Index 26 does not contain texts and comes in volumes, but unlike the MTDSG, it also includes bilateral treaties. The first part of the index is arranged chronologically while the second part is arranged by topic category (alphabetically). 27 The topic categories used, or subjects, are similar to those in MTDSG. “Administration” is used in the Cumulative Index but not MTDSG. 28 16 Besides these indexes, one can search UNTS online using topic categories. However, as mentioned, the UN has recently updated its Web site. So, the “old way” of using UNTS online is still available but referred to as the UNTS legacy database. 29 Unlike its new Web site, this offers a drop down list of subject matters on the “Advanced Search” tab. 30 This tab also includes regions of the world and participants/states. Not only do the categories in the MTDSG fail to match those in the Cumulative Index, but also Web search subject matters do not match either of them. This survey of UN publications using topics reveals that even the UN appears to have no single list of categories. The subjects used on the Web site itself appear to be fairly similar to those in the Cumulative Index, but the inconsistencies among these three UN sources are numerous. The list of participants/states on the Web search matches some of the categories in the Cumulative Index, but these are only used for bilaterals. However, that does not mean that all bilaterals in the Cumulative Index have a state name for the category; some do in fact use an actual topic. I could find nothing explaining how treaties were labeled. Why is the Convention on the Recovery Abroad of Maintenance 31 labeled under “Maintenance Obligations” in the MTDSG 32 and “Family Matters” in the Cumulative Index 33? Most of the time, the assigned topics appear to follow the head note (in both publications), but this example shows this “rule” does not always apply. Another problem with the UN’s categories is that the terms themselves are not “at the same level.” Some terms are very specific while others are quite broad. Terms like “Commodities” 34, “Agricultural Commodities” 35, and “Rice” 36 are used. What if one “Rice” treaty gets labeled as such but another is labeled under “Commodities”? Besides this type of 17 “not at the same level” there is also the use of topics such as “Cultural matters” 37 and “Dairy farming.” 38 “Cultural matters” is a broad term, and “Dairy farming” is very specific. The UN’s system (if it can be called that) can be tested, and when tested, it usually falls short. Suppose one is looking for the International Covenant on Economic, Social, and Cultural Rights 39 and does not know when it was signed, entered into force, or the UN registration number. The “Advanced Search” tab offers the ability to search using subject matters. When browsing the list of 210 subject matters, the first applicable subject is “Cultural matters.” Continuing down the list are “Development”, “Economic matters”, “Human rights”, and “Social matters.” Now, after becoming thoroughly confused and forgetting what some of the first applicable terms were, which subject matter should be used? After becoming more frustrated, one just picks something and probably the last subject matter viewed― maybe “Social matters.” Although the dates are unknown, “International Covenant” is typed in the keyword/phrase box to narrow the search. Common results are either “No Records Found” or a large list of instruments. 40 There are tricks to using the search tool, but the point is that user-friendliness should be improved. 3.2 United States (US) The US system is challenging to dissect because over the years, the Government Printing Office has used at least three different overlapping publications. Basically, Statutes at Large of the United States of America contains treaties prior to 1950 (beginning around 1875), United States Treaties and Other International Agreements (UST) has treaties from 1950 to 1984, and the Treaties and Other International Acts Series (TIAS) was first published in pamphlet form in 1946 but extends beyond UST’s coverage. 41 TIAS has more coverage than the other two publications and is the focus here. 18 TIAS is not as comprehensive as the UN because the purpose is different. TIAS attempts to collect all treaties to which the US is party. Like the UN, this series does not use categories but has a corresponding publication that does, Treaties in Force (TIF) published by the US Department of State. 42 TIF is published each year in two sections; section one contains information about bilaterals and section two has information about multilaterals. Information includes head notes, dates, and parties as well as references to the location of the full text. The bilateral section is arranged first by country and then by subject headings under each country. The multilateral section is arranged by subject headings only. 43 Not all subjects found in the bilateral section also appear in the multilateral section e.g., “Peace Corps” 44 that is used for bilaterals but not multilaterals. Overall though, the subjects in both sections appear to be generally comparable. The issues and inconsistencies with a system like this are similar to that of the UN’s use of topic categories. Not only is there no single list of categories, but the issue of “different levels” of terms is a major problem. In fact, many of the terms themselves are identical to UN subject matters or slight modifications. Most topic categories are words used in the head notes. 3.3 Canada The Canadian system is similar both to the UN and US systems. Coverage is limited like the US because the goal is to “table” all treaties Canada has entered into. Like the UN, the Canadian system does not appear to use topics explicitly. However, I do not have access to the Canadian Treaty Series (CTS). The print version of CTS may use categories. The Canada Treaty Information Web site 45 does use subjects and keywords in search boxes. This site provides some information about CTS and allows searching CTS in a limited sense. Sometimes, treaties can be viewed from the Web site. Other times, only references to the print source along 19 with information such as dates and parties are provided; there is no direct access to the texts. The search function is divided into four links allowing searches of “All”, “Bilateral”, “Multilateral”, and “Plurilateral”, respectively. 46 The “All” link and “Multilateral” link use the same subjects and keywords. There are 152 subjects and 61 keywords. The “Bilateral” and “Plurilateral” links use a list of countries and international organizations in addition to the list of subjects found on the “All” and “Multilateral” links. Since the subjects and keywords are available on the “All” link, they are the focus here. The use of an additional keywords list is confusing because the list appears to be common names of well-known multilateral conventions and additional subjects. Examples include “CITES” 47, “Geneva conventions” 48, “Atomic Energy”, and “Plants”. The issues with these categories are similar to those posed by the UN and US systems. Some terms are specific while others are far broader: “Alaska Highway” and “Culture.” Another issue that can be detrimental to a categorization system is the use of extremely similar terms. Two examples include “Health” and “Health and Sanitation” and “Investment insurance” and “Investment protection.” Using the system produced problems with consistency such as those to using the UN’s search function in the UNTS legacy database. However, it is somewhat better than the UN, possibly because there is a smaller pool of information for the system to search. Like the UN, there is a drop down list of subjects and a place to type in a search term. 49 3.4 Australia The Australian Treaties Series (ATS) is available online and lists treaties entered into by Australia. 50 The Web site allows users to browse “By Country”, “By Subject”, “By Short Title”, and “By Year”. 51 The full text can be viewed for most instruments. If not, some basic 20 information is offered. There are 21 subjects to search by. Some are compound categories like “Business & Finance” and “Environment & Resources.” Clicking on one of the 21 subject links yields a screen offering more specific subject choices under the one chosen. For example, clicking on “Business & Finance” results in a list of 13 more subjects, two of which are “Antitrust” and “Taxation.” While there is no in-depth explanation of the origin of these categories, the Web site does provide information about treaties in general and does ask and answer the question “What subjects are covered by Treaties?” The answer provided is as follows: In recent decades, the issues subject to treaties have expanded. Australia is a Party to agreements on postal, shipping and social security and health arrangements, defence and security, nuclear non-proliferation, the environment, civil aviation, maritime delimitation, technological exchanges, and agreements designed to establish universal standards in relation to the treatment of civilians in time of war. Australia has also invested considerable energy into outlawing the use of weapons of mass destruction, and into various aspects of law of the sea and the international trading system. The need for global rules on the protection and promotion of human rights, education, the environment, wildlife and the world's cultural and natural heritage is now widely accepted. Most recently, the establishment of effective international regimes to combat criminal activity which does not respect national borders, including terrorism, has taken on a new urgency. 52 This suggests the derivation of Australia’s subjects but more importantly that the list has been altered to reflect the evolving practice of Australia. The Web site has a search function, but it is a textual query. 53 Unlike the UN and Canadian systems, there is no ability to search by picking a subject from a given list. A word or phrase must be entered. If searching for a treaty that covers an atypical area, this might work fairly well. However, entering “economic” results in over 1500 21 documents. 54 Comparing the Australian system to the UN and Canadian systems is a little complicated because there is no drop down list of subjects; instead, typing a head note in the textbox (or a portion of a head note) and altogether skipping a search by categories could be done. 3.5 Electronic Information System for International Law (EISIL) The Electronic Information System for International Law (EISIL) Web site 55 was created by the American Society of International Law (ASIL) with this goal: …to ensure , through EISIL, that web searchers can easily locate the highest quality primary materials, authoritative web sites and helpful research guides to international law on the Internet. To this end, EISIL has been designed as an open database of authenticated primary and other materials across the breadth of international law, which until now have been scattered in libraries, archives and specialized web sites. 56 EISIL offers a variety of resources including access to treaty texts, links to reliable Web sites about international law, links to scholarly organizations and educational institutions, etc. That being said, though, the most common resource offered is treaty texts. The Web site is organized by topic (subject) categories of international law; these topics are all shown on the homepage. 57 The topics are further broken down into subtopics and contain links to the various resources available. For example, clicking on “International Environmental Law” on EISIL’s homepage displays subtopics of International Environmental Law 58 as well as including a link for “Basic Sources.” 59 Clicking on one of these subtopics shows a list of primary documents and links to other Web sites about the subtopic. The primary documents listed are typically treaties which appear to be only multilaterals, not bilaterals. 60 22 EISIL was clearly designed with practicality in mind. In order to develop the topics, subtopics and determine which treaties, documents, and other resources to place under the topics, ASIL first looked to a number of existing categorization schemes for international including British Yearbook of International Law and the Library of Congress’ classification system. 61 After developing a framework, ASIL sent out its draft to international law scholars, 22 people total including information professionals and those in academia. 62 These people were asked to provide comments and suggestions after testing the system; the system was then revised and finalized. This design process allowed ASIL to develop a practical scheme that is easy to use. EISIL’s strength is not its breadth but rather its logical organization of treaties and resources. Finding a particular treaty on EISIL is fairly easy. Unlike other compilations that I reviewed, EISIL employs a top-down approach, not bottom-up. EISIL assumes that users are looking for information about a particular area of international law which would include treaties within that area. The bottom-up approach, on the other hand, is trying to find a particular treaty and guessing what subject category the treaty would fall under. To imitate some of the “testing” I conducted with the other compilations, I went ahead and attempted the bottom-up approach. Because I knew that the Convention on Long-Range Transboundary Air Pollution 63 is available on EISIL, I used this as the test treaty. With the topics offered on the EISIL homepage, 64 the obvious place to start is looking under International Environmental Law. After entering the International Environmental Law page and glancing at the subtopics, 65 three subtopics jump out as possible classifications for the Convention 66: “Transboundary Cooperation,” “Protection of the Atmosphere,” and “Pollution.” The other treaty compilations had a “one-to-one relationship” between a treaty and a topic (subject) category. EISIL, though, 23 has a “one-to-many relationship.” All three subtopics have the Convention 67 listed. This demonstrates the main advantage to system like EISIL; the same treaty is found under several applicable categories, allowing for maximum search capability and ease of use. 24 Chapter 4. Objectives and Approaches for Categorizing The most common reason for categorizing information is to help people find things. Often such sciences pay little attention to a precise “mapping” of a domain of information. Think of a library; the idea is to categorize the various resources so that many people can find whatever they seek. This might not produce an accurate “mapping” of information but achieves the search objective of categorizing information. These two objectives, “mapping” and searching, certainly overlap. For the CSDMT, combining the two is the overall goal. If only the search objective is the goal for categorizing treaties, the method would likely be based on explicit terms in the head notes. The danger here, though, is that head notes are not always clearly descriptive of the treaties’ aspirations. An accurate “map” of the “forest of treaties” 68 would be difficult to achieve. Using only the other objective, “accurate mapping,” is equally dangerous. When working with the CSDMT, we often search and sort the database by categories. Categorizing without regard to the search objective would make working with the CSDMT more challenging for users. For these reasons, the new system must reflect the “forest” 69 and allow for searching. Among the treaty series studied with the exception of EISIL, there is nothing explicit written about 1) where the categories came from, 2) if there is one list that is used, and 3) how treaties are placed into their respective categories. The first and second items deal with what approach is used for categorizing treaties. In one approach, no predetermined list of categories is used, and in another approach, a list of categories to choose from is available while categorizing. In other words, when categorizing, does one anticipate categories in advance or simply create them as needed? The first approach would result in a hodgepodge of categories that is virtually unusable. 25 The second type of approach would work better, but avoiding the tendency to force treaties into categories is crucial. That would produce major distortions if one’s goal is to understand a domain of information. The likely scenario is that most treaty series using topics began with a set list but have added to their lists and continue to do so; this is confirmed by the Australian system that admits “the issues subject to treaties have expanded.” 70 The third item noted above deals with a central issue: is the full text of a treaty needed to properly categorize it? In many cases, the topic categories appear to be terms found in the head notes of the treaties. This can be difficult when the head note seems to extend to more than one subject. However, head notes normally are fairly accurate of treaty content permitting reasonable judgments about topic categories. Further, a simple way to ensure that users can find the treaties they are looking for is employing a categorization system based on words explicitly in the head notes of treaties. For these reasons, if the full text is unavailable, using the head note along with other information about the treaty often is sufficient for categorization. If we accept this assumption, the CSDMT offers a good opportunity to create a categorization system (in this case, a new one). Of course the CSDMT includes only multilaterals, but looking at different series revealed that generally, labeling bilaterals by the party names is common—an approach that, by definition, is much more difficult. That is not to say categorizing bilaterals by topic is unimportant or that a method for categorizing multilaterals could not be used for bilaterals. Rather, the focus here is multilateral treaty-making. This decision was made because we could find virtually all multilateral treaties; there are no sampling problems. 26 Chapter 5. Designing the New CSDMT System 5.1 Rules and Criteria A few “ground rules” for a system must be made explicit. A list of categories is needed and full texts are nice but not essential. Common sense dictates a few other rules. A system, process, or method for labeling treaties with topic categories must possess accuracy, replication, consistency, feasibility, and utility. Accuracy largely deals with problems of definition. How does one decide just what an economic or environmental treaty is? The method itself must recognize and/or apply definitions that accurately reflect treaty content. Even if a method uses accurate definitions, replication is essential. The method must allow for multiple users who can correctly and consistently categorize treaties under the system. Consistency is important both in the categories used and how the method itself is applied. Whether or not a system is tiered, category terms must be “at the same level.” If the system is tiered with specificity level changing, the terms within each tier should follow that idea. An argument can be made that some inconsistencies among terms “at the same level” can be tolerated. Suppose a system is not tiered and uses the category titles “Commodities”, “Sugar”, and “Coffee.” While sugar and coffee are certainly commodities, the category “Commodities” could be used for all commodities except sugar and coffee. This would work only if the categories are consistently applied, meaning that all sugar and coffee treaties are categorized respectively and do not accidentally get placed under “Commodities.” For some treaties, deciding between two topic categories is difficult and although mutual exclusivity does not perfectly reflect reality, mutually exclusive systems have clear advantages. Mutual exclusivity means that a treaty can only be labeled with a single topic category (if a tiered system is being used, then a single topic category within each level). A treaty might seem 27 to fall under both environmental and economic categories. A mutually exclusive system demands choosing between the two, but how? What happens when two similar treaties are coded, perhaps by different coders years apart? The hypothetical treaties are likely to be labeled differently, one as environmental and the other as economic. A mutually exclusive system sounds great but how can it be applied uniformly? Accuracy and feasibility often do not coexist. Time constraints may not permit the development of the most accurate and reliable system. Some treaty compilations use subjects to find treaties and/or group similar ones. Using treaty subjects to understand international law is a different matter. Consider the UN’s system and the example about Maintenance. 71 Although labeling the treaty under “Family matters” was appropriate, using “Maintenance Obligations” made much more sense; it is both representative of what the treaty deals with and more userfriendly for search purposes. Functionality is another argument for using head notes, if need be, to categorize. While selecting a category from the head note is not always easy (as demonstrated in the UN search test), a system that accurately categorizes treaties but does not sacrifice the search function is possible. Now that some general guidelines have been established, the next step is designing a system and developing a list of categories. In creating this list, one must decide on the contours of the system. Should the system be tiered? Should the system be mutually exclusive? What about a system that uses primary and secondary categories? A treaty may be primarily environmental but still have a substantial economic element (secondary category). 28 5.2 Type and Design of System Because the CSDMT has thus far used a tiered system and those working on the database are familiar with this design, the new system also is tiered. A tiered system facilitates both searching and broad analysis of categories of multilateral treaties. There are three differences between the old tiered system and the proposed one: 1) no “predetermined” sets of categories, 2) only two tiers, not three, and 3) a second broad category can be used. The new system is comprised of two tiers, one narrow list of topic categories and one broad. The categories do not come in sets; first a narrow term is picked from the list and then a broad term. This remedies the issue of having to use certain broad terms with certain specific (narrow) terms. For example, if a treaty is considered a “Fisheries” treaty, the old system required that the broad category is “Environment.” 72 What if, though, the treaty is clearly “Economic?” The new system allows “Economic” to be chosen instead of “Environment.” The new system also allows a treaty that cannot be placed under one broad category to placed under a second one as an attempt to deal with mutual exclusivity. If a treaty appears to be both “Economic” and “Environmental,” then both broad terms can be chosen. The Agreement for the Establishment of the Indian Ocean Tuna Commission73 demonstrates this. Under the old system, this treaty was labeled as “Fisheries” for the narrow-type term and “Environment” for the broad term. Now, though, it is labeled as both “Economic” and “Environmental.” The preamble of this treaty shows why this treaty cannot be placed only under one of these categories: Recognizing the desirability of promoting the peaceful uses of the seas and oceans, and the equitable and efficient utilization and conservation of their living resources, Desiring to contribute to the realization of a just and equitable international 29 economic order…the special interests of developing countries in the Indian Ocean Region to benefit equitably from the fishery resources,… 74 A critical fact about the Broad (1) and Broad (2) terms must be understood. The new system does not account for whether a treaty is primarily a Broad (1) and secondarily a Broad (2). In the example above, we are not saying the treaty is more economic than environmental or vice versa. Allowing two broad terms to be used for treaties simply shows reality and is not intended to really “dig in” and solve mutual exclusivities unrealistic demands. The first place to begin when designing the new system was creating a list of the broad categories. Examining not only broad terms used in treaty series but also treatises of international law suggest the broadest areas covered by treaties. EISIL (above) was also helpful. I only looked at a few books 75 compared to what is out there and focused on tables of contents to determine major areas. The books were similar in set up. Two of the 11 were bibliographies 76, listing resources for areas of international law. These books were similar to the others in sections. A general outline for books about international law is an introduction defining international law; discussion of sources and, if not in the text, reference to Article 38 of the ICJ Statute 77; history and origins of international law; international law compared to municipal law; separate section about treaties; several sections about major areas international law governs; and concluding thoughts about impacts, challenges, and/or the future of international law. The books vary the most in the coverage of the major subfields of international law, but there were similarities. The age of the books based on publication date ranges from 1978 to 2007. Overall, the most common sections are law of war/use of force, human rights, economic, settlement of disputes, jurisdiction, and environment. Older books have somewhat different sections; sections devoted entirely to the environment are a modern phenomenon. 30 While these books deal with international law as a whole, the World Treaty Index 78 and Treaty Profiles 79 by Rohn deal exclusively with treaties. Rohn stated that five categories exist: administrative and diplomatic, social cooperation, economic cooperation, aid, and military. 80 However, he admitted that these categories were unable to accommodate every treaty because administrative and diplomatic tended to become a catchall for treaties that had no obvious “home.” 81 Rohn’s main categories are part of a tiered system because he showed how these topics subdivide into more specific ones. 82 The problem with Rohn’s top five is that Treaty Profiles only covers bilaterals signed between 1946 and 1965 found in the World Treaty Indexes. 83 This subset excludes multilaterals, this paper’s focus, and is outdated. After considering the old system’s broad list, the above-resources, EISIL’s broad categories, 84 and consulting with an international law academic, 85 the broad list was developed which is shown in Appendix 3. From here, a list of narrow terms was created by using the old system’s list and combining and condensing terms where appropriate. This lengthy process required looking at the head notes and texts of some treaties to determine just what some of the terminology meant. A few examples are “Hydrography” and “Navigation” and specific commodities and “Commodities.” The old system used “Hydrography” as one of the narrow terms. I looked at these treaties and found that their purpose was improved navigation. 86 So, these treaties are now under “Navigation” in the new system and “Hydrography” is not used. Many specific commodities were used as terms in the old system such as “Sugar,” “Coffee,” “Bananas,” etc. These have all been condensed under “Commodities” in the new system. Once the new list of narrow terms was created, every treaty in the CSDMT was recategorized with the new system. In many cases, portions of the treaty texts were used to determine categories, mainly the preambles. The preambles are good indicators of broad 31 aspirations of the treaties. There are some treaties in the CSDMT that we no longer have access to without traveling or requesting materials. The head notes were used in these cases due to time constraints. The recategorization process was not always smooth. During recategorization, problems arose. The new lists of narrow and broad terms were created without looking at all head notes and/or preambles. Problems such as not having an appropriate category on the new list were tracked, recorded, and dealt with after initial recategorization. After this, the lists of narrow and broad terms were tweaked and then finalized. See Appendix 3 for the new, finalized lists. There are 125 Narrow terms and eight Broad terms. The new system is not perfect but certainly an improvement from the old one. There are still some problems with specificity between the tiers because of the “least common denominator” issue. Some treaties deal with broad items and the head notes and/or texts do not provide many specifics. Fitting these treaties under a narrow term that is in fact narrow is impossible. For example, there are several treaties that are labeled with the Narrow term “Human Rights” and the Broad (1) term “Human rights/humanitarian.” These terms seem redundant but are necessary because “Human Rights” is the “least common denominator”; there are no other terms to use. Labeling the Convention for the Protection of Human Rights and Fundamental Freedoms 87 anything but “Human Rights” for the narrow term would not make sense. 5.3 Analysis Using the New System After the CSDMT was recategorized, graphs were made to illustrate the results. Generally these follow the format of the previous system in Chapter 2. The differences are that the broad terms have changed, and the mid-level terms no longer exist. The graphs were made in 32 the same way, i.e. by omitting any entries in the database that do not meet the accepted description of a multilateral treaty. The graphs show the same information but with the new Broad (1) categories. Overall, there were only slight changes in the distributions. Two notable changes are between Figures 5 and 11 and Figures 7 and 13. The percentage of treaties with IGO involvement under the old system was 39%; the new system shows this as 22% (Figures 5 and 11). Obviously, many of these were moved into other categories as the percentages for economic and human rights increased and new categories were added. In Figure 7, the percentage of economic treaties remained relatively constant over all time periods. However, Figure 13 shows more fluctuations. Data tables to all graphs are provided in Appendix 4. Figure 8: CSDMT Broad (1) Categories Science 3% Aid and Cultural Development 2% 3% Political/diplomatic 26% Law(s) of war/use of force 5% Human rights/humanitarian 10% Environmental 5% Economic 46% 33 Figure 9: CSDMT Broad (1) Categories by Laterality 2500 2000 1500 1000 500 General Plurilateral 0 Figure 10: CSDMT Broad (1) Categories by Laterality 100% 90% 80% 70% 60% 50% 40% 30% 20% 10% 0% Plurilateral General 34 Figure 11: CSDMT Broad (1) Categories with IGO Involvement Science 3% Aid and Development 6% Political/diplomatic 22% Law(s) of war/use of force 5% Economic 44% Human rights/humanitarian 11% Environmental 7% Cultural 2% 35 Figure 12: CSDMT Broad (1) Categories by Time Period 1800 1600 1400 1200 Science Political/diplomatic 1000 Law(s) of war/use of force Human rights/humanitarian Environmental 800 Economic Cultural Aid and Development 600 400 200 0 1500-1899 1900-1919 1920-1939 1940-1959 1960-1979 1980-1999 2000-2007 36 Figure 13: CSDMT Broad (1) Categories by Time Period 100% 90% 80% 70% Science 60% Political/diplomatic Law(s) of war/use of force 50% Human rights/humanitarian Environmental Economic 40% Cultural Aid and Development 30% 20% 10% 0% 1500-1899 1900-1919 1920-1939 1940-1959 1960-1979 1980-1999 2000-2007 37 The graphs above only deal with Broad (1) categories. The Narrow terms have been excluded from this analysis because the distribution would appear confusing and cluttered, but the Broad (2) distribution retains utility. The Broad (2) terms were an attempt to deal with the illusive goal: mutual exclusivity. This was done in the strictest way; one could probably argue that every treaty can appropriately be placed in more than one broad category. The table below (Figure 14) shows the distribution of the Broad (2) categories. Only 274 of the 5743 treaties were assigned a second broad category, less than five percent. The first Percentage column shows the figures as a percent of the CSDMT (5743 treaties), and the second Percentage column shows them as a percentage of themselves. So, 1.69% of treaties in the CSDMT were labeled with a second broad category of “Economic”, and 35.40% of treaties with a second broad category were labeled with the Broad (2) term “Economic.” Figure 14: CSDMT Broad (2) Categories Quantity Aid and Development Cultural Economic Environmental Human rights/humanitarian Law(s) of war/use of force Political/diplomatic Science Total 17 13 97 3 36 45 28 35 274 Percentage 0.30% 0.23% 1.69% 0.05% 0.63% 0.78% 0.49% 0.61% 4.77% Percentage (2) 6.20% 4.74% 35.40% 1.09% 13.14% 16.42% 10.22% 12.77% 100.00% Excluding the Broad (2) categories from the graphs means that each treaty was only counted once. If they were included, then some treaties would have been counted twice. While this approach might have been taken the distribution would have changed only minimally. Less than five percent of the CSDMT has a Broad (2) category; this small percentage is divided 38 among the broad terms. The differences are so minimal compared to the percentages shown in Figure 8 (above) when these are added. In fact, if the percentages were rounded, many would remain the same. 88 The data table below shows the makeup of the Broad (2) categories by the Broad (1) categories. For example, it shows that from the 17 treaties labeled with the Broad (2) term “Aid and Development,” 14 of those had “Economic” as their Broad (1) term. This table can also be viewed in another way: Broad (1) terms by Broad (2). From the 24 treaties labeled as “Aid and Development” and given a Broad (2) term, 12 of them were given the Broad (2) terms “Science.” The most significant finding from this figure concerns the “Economic” and “Political/diplomatic” treaties. The majority of “Political/diplomatic” treaties given a Broad (2) term were placed under “Economic,” and obviously the majority of “Economic” Broad (2) treaties had “Political/diplomatic” as the Broad (1) term. Figure 15: CSDMT Broad (1) and Broad (2) Categories Broad (2) A&D Cult. Econ. Envrion. HR/Hum. LoW/U. P/d. Science Totals A&D 0 0 3 0 9 0 0 12 24 Cult. 0 0 0 0 0 0 26 0 26 Econ. 14 12 0 1 3 1 0 7 38 Broad (1) HR/Hum. 0 2 0 1 9 8 0 1 3 0 0 8 0 1 0 15 12 36 Environ. LoW/U. 0 0 5 1 3 0 1 0 10 P/d. 0 0 72 0 2 36 0 1 111 Science 1 0 0 0 16 0 0 0 17 Totals 17 13 97 3 36 45 28 35 274 39 Chapter 6. Additional Suggestions and Conclusion As mentioned, the new categorization system of the CSDMT significantly improved the assignment of topic categories. Overall, the new categories did not reveal major changes from those under the old system. There are some issues beyond the scope of this thesis that should be discussed briefly: 1) mutual exclusivity, 2) accurate categorization, and 3) bases versus derivative treaties. Mutual exclusivity was discussed briefly by allowing treaties to be labeled with two broad terms rather than only one. However, the new categorization system helps little in deciding whether a treaty is primarily under one category and secondarily under another. The Agreement on the Establishment of the Indian Ocean Tuna Commission in the above section illustrates this. 89 Perhaps in the future, more work on the CSDMT’s categorization system will allow for “partial credit”, e.g., if a treaty is more economic than environmental can it still be included in both categories? This involves complicated judgments because it can be looked at in a textual sense and functional sense. Does the treaty text help us to decided what is the “primary” broad category or should one look at how the treaty functions? Maybe the treaty deals mostly with environmental issues but functions in an “economic-sense.” Ideally, a categorization system that allowed each treaty to have percentages for the broad categories would really map the “forest.” So, a treaty would be said to be 50% “Economic,” 30% “Environmental,” and 20% “Political/diplomatic.” A solution is not feasible but at least we acknowledge problems attendant with mutual exclusivity. Accurately categorizing treaties is challenging with few perfect answers especially when trying to decide whether to categorize based on what a treaty deals with or what the treaty is associated with. The best way to demonstrate how difficult this can be is by using an example: 40 The Agreement on the Privileges and Immunities of the International Criminal Court. 90 Should this treaty have the narrow term “Privileges and Immunities” or “International Courts.” Under the old system, it was “International Courts.” Because that term was kept for a new one, it was left the same. This treaty is about the Privileges and Immunities of an International Court; is there a right and wrong narrow category? Either category serves both functions of being able to search for the treaty and mapping the information correctly. In my opinion, it does not matter whether one chooses to categorize these treaties based on what they deal with (privileges and immunities) or what they are associated with (“International Criminal Court”). What matters most is that categorization be consistent and the system be explicit and transparent. Future work on the categorization system should assure consistency throughout the entire CSDMT. In addition, the safety net here is that the treaty would still filter into “Political/diplomatic” in either case. Some treaties are supplementary protocols, optional protocols, and amendments. These types are called derivatives because they would not exist if the original treaty, or base treaty, did not exist. An amendment must have something to amend, and a supplementary protocol must supplement something. Bases and derivatives are usually coded and added to the CSDMT at separate times and always as separate entries. In relation to topic categories, should the derivative treaties have the same topic categories as the bases? Consistency and ease of searching are clear advantages if the categories are the same. However, oftentimes derivative instruments are not created until several years after a base. If a coder had to check to make sure that the derivative he/she coded had the same categories as the base, this could work at cross purposes without the goal of replicable categorization system. It also may distort the categories because, while there are times when bases and derivates do have similar aspirations, derivatives 41 often (especially supplementary protocols) deal with something “extra” than the base. The Antarctic Treaty 91 is labeled as “Territory” for the narrow term and “Political/diplomatic” for the Broad (1). Its derivative instrument, the Protocol on Environmental Protection to the Antarctic Treaty, 92 is labeled differently as “Conservation” and “Environmental” for the Narrow and Broad (1), respectively. Clearly, the protocol focuses on a different issue than did the base. While labeling the same would be convenient and consistent, it would not adequately reflect the dynamism of treaty creation and evaluation. The goal of this thesis was to create, implement, and evalute a new topic categorization system for the CSDMT. As mentioned, the new categorization system of the CSDMT is an improvement, but it is far from perfect. Recategorization did not reveal major changes from those under the old system. Overall, consistency of the categorization was improved as well as increased flexibility because the new system does not have predetermined broad terms (the categories no longer come in sets of three). 42 References Bederman, D.J., Borgen, C.J., and Martin, D.A., International Law: A Handbook for Judges, Studies in Transnational Legal Policy No. 35, ASIL (2003). Buergenthall, T., and Murphy, S.D., Public International Law in a Nutshell, West Publishing Co. (2007). Cassese, A., International Law, Oxford (2001). Comprehensive Statistical Database of Multilateral Treaties (CSDMT), Penn State Behrend Honors Program project (1998). Dixon, M., Textbook on International Law (3rd ed.), Blackstone Press Limited (1996). Epps, V. International Law for Undergraduates, Carolina Academic Press (1998) Glahn, G.v., Law Among Nations: An Introduction to Public International Law (7th ed.), Allyn and Baclon (1996). Hoffman, M., and Watson, J.M. (eds.), ASIL Guide to Electronic Resources for International Law (2nd revised and expanded ed.), ASIL Bulletin No. 14, ASIL (2002). Joyner, C.C., International Law in the 21st Century, Rowman & Littlefield (2005). Malanczuk, P. Akehurst’s Modern Introduction to International Law (7th ed.), Routledge (1997). Merrills, J.G., A Current Bibliography of International Law, Butterworths, London (1978). Mitchell, R.B. International Environmental Agreements: A Survey of Their Features, Formation, and Effects (Annu. Rev. Environ. Resour. 2003. 28:429-61: pages 429-461). Rohn, P.H., Treaty Profiles, Clio Books (1976). Rohn, P.H., World Treaty Index (2nd ed.) Vol. 1 (reference volume), Hein & Co, Inc. (1983). Wallace, R.M.M., International Law: A Student Introduction (2nd ed.), Sweet and Maxwell (1992). 43 Wiktor, C.L, Multilateral Treaty Calendar 1648-1995, The Hague: Martinus Nijhoff (1998). 44 Appendix 1: Previous CSDMT Categorization System Level 1 CAT UN Aaland Islands Accidents Aggression and Nonaggression Agricultural Commodities Agriculture Aliens Alliances Animals Antarctica Arbitration Archaeological Finds Archives Armed Forces Armistice and Surrender Arms and Ammunition Arms Control and Disarmament Asylum Atomic Energy Automotive Traffic Aviation Banks and Banking Birds Border Crossing Boundaries Boundary Waters Canals Causes of Death Chemical Products Children Claims Climate Cocoa Coconut Coffee Collective Security Colonies Commercial Law Commodities Communications Companies Conciliation Conservation Consular Relations Containers Level 2 CAT MID Other Other Military Commodities Commodities Legal Relations Legal Relations Environment Territory Legal Relations Cultural Matters Legal Relations Military Legal Relations Military Military Diplomatic Matters Other Transportation and Communication Transportation and Communication Economics/Trade Environment Territory Territory Territory Transportation and Communication Health Commodities Humanitarian Legal Relations Environment Commodities Commodities Commodities Military Territory Economics/Trade Commodities Transportation and Communication Economics/Trade Legal Relations Environment Diplomatic Matters Economics/Trade Level 3 CAT BROAD Other Other Military Economic Economic Political/Diplomatic Political/Diplomatic Environment Political/Diplomatic Political/Diplomatic Cultural Political/Diplomatic Military Military Military Military Political/Diplomatic Other Economic Economic Economic Environment Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Economic Humanitarian Political/Diplomatic Environment Economic Economic Economic Political/Diplomatic Political/Diplomatic Economic Economic Economic Economic Political/Diplomatic Environment Political/Diplomatic Economic 45 Cooperation Copper Copyright Cotton Criminal Matters Cultural Affairs Cultural Property Customs Customs Services Debts Defense Deportation Development Assistance Diamonds Diplomatic Agents Diplomatic Relations Disaster Assistance Disasters Drugs Economic and Social Development Economic and Technical Cooperation Economic Assistance and Development Economic Cooperation Economic Integration Education Electric Power Emigration and Immigration Enemy Property Energy Environmental Cooperation Environmental Protection Exhibitions Extradition Extraterritoriality Family Matters Finance Fisheries Food Food Aid Foreign Law Forestry Friendly Relations GATT General Relations Genocide Geodetic Survey Gold Health and Sanitation Diplomatic Matters Commodities Intellectual Property Commodities Legal Relations Cultural Matters Cultural Matters Economics/Trade Economics/Trade Economics/Trade Military Humanitarian Foreign Aid/Assistance Commodities Diplomatic Matters Diplomatic Matters Foreign Aid/Assistance Foreign Aid/Assistance Health Foreign Aid/Assistance Foreign Aid/Assistance Political/Diplomatic Economic Economic Economic Political/Diplomatic Cultural Cultural Economic Economic Economic Military Humanitarian Economic Economic Political/Diplomatic Political/Diplomatic Humanitarian Humanitarian Humanitarian Political/Diplomatic Economic Foreign Aid/Assistance Economics/Trade Economics/Trade Other Economics/Trade Legal Relations Military Economics/Trade Environment Environment Cultural Matters Legal Relations Territory Humanitarian Economics/Trade Maritime/Ocean Matters Foreign Aid/Assistance Foreign Aid/Assistance Legal Relations Commodities Diplomatic Matters Economics/Trade Diplomatic Matters Humanitarian Science Commodities Health Economic Economic Economic Other Economic Political/Diplomatic Military Economic Environment Environment Cultural Political/Diplomatic Political/Diplomatic Humanitarian Economic Economic Economic Economic Political/Diplomatic Economic Political/Diplomatic Economic Political/Diplomatic Humanitarian Other Economic Humanitarian 46 Highways Housing Human Rights Hydrography ILO Conventions Independence Industrial Development Industrial Property Industry Information Inheritance and Succession Inland Navigation Insurance Integration of States Intellectual Property International Conferences International Courts International Law International Officials and Employees International Organizations Intervention and Nonintervention Investment Joint Ventures Judicial Assistance Judicial Procedure Jurisdiction Jute Labor Lakes Landlocked States Languages Law of the Sea Legal Affairs Liquor Traffic Loans Local Government Marine Pollution Marine Resources Maritime Matters Marriage Matches Medicine Meteorology Metrology Migration Military Affairs Military Occupation Mineral Resources Transportation and Communication Foreign Aid/Assistance Humanitarian Science Humanitarian Diplomatic Matters Foreign Aid/Assistance Foreign Aid/Assistance Foreign Aid/Assistance Other Legal Relations Maritime/Ocean Matters Economics/Trade Territory Intellectual Property Diplomatic Matters Legal Relations Legal Relations Diplomatic Matters Diplomatic Matters Military Economics/Trade Economics/Trade Legal Relations Legal Relations Territory Commodities Humanitarian Maritime/Ocean Matters Maritime/Ocean Matters Cultural Matters Maritime/Ocean Matters Legal Relations Transportation and Communication Foreign Aid/Assistance Legal Relations Maritime/Ocean Matters Maritime/Ocean Matters Maritime/Ocean Matters Legal Relations Commodities Health Science Science Humanitarian Military Military Economics/Trade Economic Economic Humanitarian Other Humanitarian Political/Diplomatic Economic Economic Economic Other Political/Diplomatic Economic Economic Political/Diplomatic Economic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Military Economic Economic Political/Diplomatic Political/Diplomatic Political/Diplomatic Economic Economic Political/Diplomatic Political/Diplomatic Cultural Political/Diplomatic Political/Diplomatic Political/Diplomatic Economic Political/Diplomatic Environment Environment Environment Humanitarian Economic Humanitarian Other Other Humanitarian Military Military Economic 47 Minorities Missiles Morocco Motor Vehicles Narcotic Drugs Nationality Natural Resources Nature Naval Warfare Navigation Neutrality Nuclear Weapons Nutrition Obscene Publications Occupied Territory Official Publications Oil and Gas Oil Pollution Olive Oil Outer Space Pacific Settlement of Disputes Passports Patents Peace Peaceful Relations Peacekeeping Pepper Persons (Law) Pharmaceutical Products Piracy Plant Protection Police Political Questions Pollution Poplar Population Postal Communications Prisoners of War Private International Law Privileges and Immunities Prizes Professions Property Public Administration Publications Railways Red Cross Conventions Refrigeration Humanitarian Military Legal Relations Economics/Trade Health Legal Relations Environment Environment Military Maritime/Ocean Matters Legal Relations Military Health Humanitarian Territory Legal Relations Economics/Trade Maritime/Ocean Matters Commodities Territory Legal Relations Transportation and Communication Economics/Trade Legal Relations Legal Relations Military Commodities Legal Relations Health Legal Relations Environment Legal Relations Legal Relations Environment Commodities Environment Transportation and Communication Humanitarian Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Intellectual Property Transportation and Communication Humanitarian Economics/Trade Humanitarian Military Political/Diplomatic Economic Humanitarian Political/Diplomatic Environment Environment Military Economic Political/Diplomatic Military Humanitarian Humanitarian Political/Diplomatic Political/Diplomatic Economic Environment Economic Political/Diplomatic Political/Diplomatic Political/Diplomatic Economic Political/Diplomatic Political/Diplomatic Military Economic Political/Diplomatic Economic Political/Diplomatic Environment Political/Diplomatic Political/Diplomatic Environment Economic Environment Political/Diplomatic Humanitarian Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Economic Economic Humanitarian Economic 48 Refugees Relief Assistance Renunciation of War Reparations Rice Rights and Duties of State Rivers Rubber Rules of Warfare Sale of Goods Scientific and Technical Cooperation Seabeds Seals Seismological Research Silver Slavery and Slave Trade Social Affairs Social Insurance Social Security Sovereignty Space Space Communications Space Cooperation Space Research Sports State Partition Statelessness States Statistics Straits Sugar Tangier Tax Administration Taxation Tea Technical Assistance Telecommunications Territorial Sovereignty Territory Terrorism Timber Time Tin Tolls Tourism Tracing Service Trade and Commerce Trademarks Humanitarian Humanitarian Military Economics/Trade Commodities Legal Relations Transportation and Communication Commodities Military Economics/Trade Science Maritime/Ocean Matters Environment Science Commodities Humanitarian Legal Relations Health Economics/Trade Legal Relations Space Space Space Space Other Territory Humanitarian Legal Relations Foreign Aid/Assistance Maritime/Ocean Matters Commodities Other Economics/Trade Economics/Trade Commodities Foreign Aid/Assistance Transportation and Communication Territory Territory Legal Relations Commodities Other Commodities Economics/Trade Transportation and Communication Other Economics/Trade Intellectual Property Humanitarian Humanitarian Military Economic Economic Political/Diplomatic Economic Economic Military Economic Other Economic Environment Other Economic Humanitarian Political/Diplomatic Humanitarian Political/Diplomatic Political/Diplomatic Other Other Other Other Other Political/Diplomatic Humanitarian Political/Diplomatic Other Political/Diplomatic Economic Other Economic Economic Economic Economic Economic Political/Diplomatic Political/Diplomatic Political/Diplomatic Economic Other Economic Economic Economic Other Economic Economic 49 Trading with the Enemy Traffic in Persons Transboundary Relations Transit Transportation Travel Treaties Trust and Mandated Territories Uniform Laws Union of States Universities Veterinary Medicine Visas War Crimes War Criminals War Graves and Memorials War Supplies Water Resources Watercourses Weather Stations Weights and Measures Wetlands Whaling Wheat Wildlife Preservation Wine Women Wool World Heritage Military Humanitarian Territory Transportation and Communication Transportation and Communication Transportation and Communication Legal Relations Territory Legal Relations Territory Other Health Legal Relations Military Military Cultural Matters Military Maritime/Ocean Matters Transportation and Communication Science Science Environment Environment Commodities Environment Commodities Humanitarian Commodities Environment Military Humanitarian Political/Diplomatic Economic Economic Economic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Other Political/Diplomatic Political/Diplomatic Military Military Cultural Military Economic Economic Other Other Environment Environment Economic Environment Economic Humanitarian Economic Environment 50 Appendix 2: Previous CSDMT Categorization System Sorted by Level 2 Level 1 CAT UN Agricultural Commodities Agriculture Chemical Products Cocoa Coconut Coffee Commodities Copper Cotton Diamonds Forestry Gold Jute Matches Olive Oil Pepper Poplar Rice Rubber Silver Sugar Tea Timber Tin Wheat Wine Wool Archaeological Finds Cultural Affairs Cultural Property Exhibitions Languages War Graves and Memorials Asylum Consular Relations Cooperation Diplomatic Agents Diplomatic Relations Friendly Relations General Relations Independence International Conferences International Officials and Employees International Organizations Level 2 CAT MID Commodities Commodities Commodities Commodities Commodities Commodities Commodities Commodities Commodities Commodities Commodities Commodities Commodities Commodities Commodities Commodities Commodities Commodities Commodities Commodities Commodities Commodities Commodities Commodities Commodities Commodities Commodities Cultural Matters Cultural Matters Cultural Matters Cultural Matters Cultural Matters Cultural Matters Diplomatic Matters Diplomatic Matters Diplomatic Matters Diplomatic Matters Diplomatic Matters Diplomatic Matters Diplomatic Matters Diplomatic Matters Diplomatic Matters Diplomatic Matters Diplomatic Matters Level 3 CAT BROAD Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Cultural Cultural Cultural Cultural Cultural Cultural Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic 51 Banks and Banking Commercial Law Companies Containers Customs Customs Services Debts Economic Cooperation Economic Integration Electric Power Energy Finance GATT Insurance Investment Joint Ventures Mineral Resources Motor Vehicles Oil and Gas Patents Refrigeration Reparations Sale of Goods Social Security Tax Administration Taxation Tolls Trade and Commerce Animals Birds Climate Conservation Environmental Cooperation Environmental Protection Natural Resources Nature Plant Protection Pollution Population Seals Wetlands Whaling Wildlife Preservation World Heritage Development Assistance Disaster Assistance Disasters Economic and Social Development Economics/Trade Economics/Trade Economics/Trade Economics/Trade Economics/Trade Economics/Trade Economics/Trade Economics/Trade Economics/Trade Economics/Trade Economics/Trade Economics/Trade Economics/Trade Economics/Trade Economics/Trade Economics/Trade Economics/Trade Economics/Trade Economics/Trade Economics/Trade Economics/Trade Economics/Trade Economics/Trade Economics/Trade Economics/Trade Economics/Trade Economics/Trade Economics/Trade Environment Environment Environment Environment Environment Environment Environment Environment Environment Environment Environment Environment Environment Environment Environment Environment Foreign Aid/Assistance Foreign Aid/Assistance Foreign Aid/Assistance Foreign Aid/Assistance Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Economic Political/Diplomatic Economic Economic Economic Economic Environment Environment Environment Environment Environment Environment Environment Environment Environment Environment Environment Environment Environment Environment Environment Environment Economic Humanitarian Humanitarian Political/Diplomatic 52 Economic and Technical Cooperation Economic Assistance and Development Food Food Aid Housing Industrial Development Industrial Property Industry Loans Statistics Technical Assistance Causes of Death Drugs Health and Sanitation Medicine Narcotic Drugs Nutrition Pharmaceutical Products Social Insurance Veterinary Medicine Children Deportation Family Matters Genocide Human Rights ILO Conventions Labor Migration Minorities Obscene Publications Prisoners of War Red Cross Conventions Refugees Relief Assistance Slavery and Slave Trade Statelessness Traffic in Persons Women Copyright Intellectual Property Publications Trademarks Aliens Alliances Arbitration Archives Armistice and Surrender Claims Foreign Aid/Assistance Foreign Aid/Assistance Foreign Aid/Assistance Foreign Aid/Assistance Foreign Aid/Assistance Foreign Aid/Assistance Foreign Aid/Assistance Foreign Aid/Assistance Foreign Aid/Assistance Foreign Aid/Assistance Foreign Aid/Assistance Health Health Health Health Health Health Health Health Health Humanitarian Humanitarian Humanitarian Humanitarian Humanitarian Humanitarian Humanitarian Humanitarian Humanitarian Humanitarian Humanitarian Humanitarian Humanitarian Humanitarian Humanitarian Humanitarian Humanitarian Humanitarian Intellectual Property Intellectual Property Intellectual Property Intellectual Property Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Economic Economic Economic Economic Economic Economic Economic Economic Economic Other Economic Political/Diplomatic Humanitarian Humanitarian Humanitarian Humanitarian Humanitarian Economic Humanitarian Political/Diplomatic Humanitarian Humanitarian Humanitarian Humanitarian Humanitarian Humanitarian Economic Humanitarian Humanitarian Humanitarian Humanitarian Humanitarian Humanitarian Humanitarian Humanitarian Humanitarian Humanitarian Humanitarian Economic Economic Economic Economic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Military Political/Diplomatic 53 Conciliation Criminal Matters Emigration and Immigration Extradition Foreign Law Inheritance and Succession International Courts International Law Judicial Assistance Judicial Procedure Legal Affairs Local Government Marriage Morocco Nationality Neutrality Official Publications Pacific Settlement of Disputes Peace Peaceful Relations Persons (Law) Piracy Police Political Questions Private International Law Privileges and Immunities Prizes Professions Property Public Administration Rights and Duties of State Social Affiars Sovereignty States Terrorism Treaties Uniform Laws Visas Fisheries Inland Navigation Lakes Landlocked States Law of the Sea Marine Pollution Marine Resources Maritime Matters Navigation Oil Pollution Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Legal Relations Maritime/Ocean Matters Maritime/Ocean Matters Maritime/Ocean Matters Maritime/Ocean Matters Maritime/Ocean Matters Maritime/Ocean Matters Maritime/Ocean Matters Maritime/Ocean Matters Maritime/Ocean Matters Maritime/Ocean Matters Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Humanitarian Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Economic Economic Political/Diplomatic Political/Diplomatic Political/Diplomatic Environment Environment Environment Economic Environment 54 Seabeds Straits Water Resources Aggression and Nonaggression Armed Forces Arms and Ammunition Arms Control and Disarmament Collective Security Defense Enemy Property Intervention and Nonintervention Military Affairs Military Occupation Missiles Naval Warfare Nuclear Weapons Peacekeeping Renunciation of War Rules of Warfare Trading with the Enemy War Crimes War Criminals War Supplies Aaland Islands Accidents Atomic Energy Education Information Sports Tangier Time Tracing Service Universities Geodetic Survey Hydrography Meteorology Metrology Scientific and Technical Cooperation Seismological Research Weather Stations Weights and Measures Space Space Communications Space Cooperation Space Research Antarctica Border Crossing Boundaries Maritime/Ocean Matters Maritime/Ocean Matters Maritime/Ocean Matters Military Military Military Military Military Military Military Military Military Military Military Military Military Military Military Military Military Military Military Military Other Other Other Other Other Other Other Other Other Other Science Science Science Science Science Science Science Science Space Space Space Space Territory Territory Territory Economic Political/Diplomatic Economic Military Military Military Military Political/Diplomatic Military Military Military Military Military Military Military Military Military Military Military Military Military Military Military Other Other Other Other Other Other Other Other Other Other Other Other Other Other Other Other Other Other Other Other Other Other Political/Diplomatic Political/Diplomatic Political/Diplomatic 55 Boundary Waters Colonies Extraterritoriality Integration of States Jurisdiction Occupied Territory Outer Space State Partition Territorial Sovereignty Territory Transboundary Relations Trust and Mandated Territories Union of States Automotive Traffic Aviation Canals Communications Highways Liquor Traffic Passports Postal Communications Railways Rivers Telecommunications Tourism Transit Transportation Travel Watercourses Territory Territory Territory Territory Territory Territory Territory Territory Territory Territory Territory Territory Territory Transportation and Communication Transportation and Communication Transportation and Communication Transportation and Communication Transportation and Communication Transportation and Communication Transportation and Communication Transportation and Communication Transportation and Communication Transportation and Communication Transportation and Communication Transportation and Communication Transportation and Communication Transportation and Communication Transportation and Communication Transportation and Communication Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Political/Diplomatic Economic Economic Political/Diplomatic Economic Economic Political/Diplomatic Political/Diplomatic Political/Diplomatic Economic Economic Economic Economic Economic Economic Economic Economic 56 Appendix 3: New CSDMT Categorization System Narrow Aaland Islands Agriculture Alliances Arbitration Armed Forces Armistice and Surrender Arms and Ammunition Arms Control and Disarmament Assistance and Development Automotive Traffic Aviation Banks and Banking Bodies of Water Border relations Boundaries Carriage/transport Children and Women Claims Climate Collective Security Colonies/territories Commercial Law/regulations Commodities Communications Companies Conservation Consular Relations Cooperation Corruption Criminal Matters Cultural Affairs Customs/tariffs Debts/loans/payments Defense Democracy/elections Diplomatic Relations Drugs Education Employment and Labor Enemy Property Energy Extradition Family Matters Finance Fisheries Food GATT General Relations Health and Sanitation Highways Human Rights ILO Conventions Industrial Matters Information Integration/union of states Intellectual Property International Courts International Law International Sale of Goods Investments Judicial Matters Land Survey and Research Law of the Sea Legal Affairs Liquor Traffic Maritime Matters Medicine Meteorology Military Affairs Minorities Monetary Motor Vehicles Movement of Persons Nationality Natural Resources Navigation Neutrality Nuclear Science Nuclear Weapons Occupation Passports/visas Patents Peace Peaceful Settlement of Disputes Police Political Questions Pollution Postal Communications Prisoners of War Private International Law Privileges and Immunities Property Publications Railways Red Cross Conventions Refuge Renunciation of War Reparations Rivers Rules of Warfare Scientific and Technical Cooperation Seabeds Seals Slavery Sovereignty Space State partition/succession Statistics Taxes Technical Assistance Telecommunications Territory Terrorism Tolls Tourism Trade Trademarks Treaties War Crime War Graves and Memorials War Supplies Weather Stations Weights and Measurement Whaling Wildlife 57 Broad (1 ) Aid and Development Cultural Economic Environmental Human Rights/humanitarian Law(s) of war/use of force Political/diplomatic Science Broad (2)* Aid and Development Cultural Economic Environmental Human Rights/humanitarian Law(s) of war/use of force Political/diplomatic Science *Only use if necessary! 58 Appendix 4: Data Tables to All Graphs Figure 1: Previous CSDMT Broad Categories (Level 1) Quantity Cultural Economic Environment Humanitarian Military Other Political/Diplomatic Total 86 2455 365 467 297 483 1590 5743 Percentage 1% 43% 6% 8% 5% 8% 28% 100% Figure 2: Previous CSDMT Mid Categories (Level 2) Commodities Cultural Matters Diplomatic Matters Economics/Trade Environment Foreign Aid/Assistance Health Humanitarian Intellectual Property Legal Relations Maritime/Ocean Matters Military Other Science Space Territory Transportation and Communication Total Quantity 204 86 367 1214 137 177 119 365 66 749 393 279 317 111 49 173 937 5743 Percentage 3.6% 1.5% 6.4% 21.1% 2.4% 3.1% 2.1% 6.4% 1.1% 13.0% 6.8% 4.9% 5.5% 1.9% 0.9% 3.0% 16.3% 100.0% Figures 3 and 4: Previous CSDMT Broad Categories (Level 3) by Laterality General Cultural Economic Environment Humanitarian Military Other Political/Diplomatic Totals 3 275 114 259 31 42 333 1057 Plurilateral 83 2180 251 208 266 441 1257 4686 Totals 86 2455 365 467 297 483 1590 5743 59 Figure 5: Previous CSDMT Broad Categories (Level 3) with IGO Involvement Cultural Economic Environment Humanitarian Military Other Political/Diplomatic Total 7 299 24 39 22 79 304 774 Figures 6 and 7: Previous CSDMT Broad Categories (Level 3) by Time Period 15001899 Cultural Economic Environment Humanitarian Military Other Political/Diplomatic Totals 0 147 2 19 31 3 275 477 19001919 5 117 13 28 36 16 128 343 19201939 12 389 38 103 31 20 231 824 Figure 8: CSDMT Broad (1) Categories Aid and Development Cultural Economic Environmental Human rights/humanitarian Law(s) of war/use of force Political/diplomatic Science Total Quantity 189 104 2645 268 604 282 1478 173 5743 Percentage 3.29% 1.81% 46.06% 4.67% 10.52% 4.91% 25.74% 3.01% 100.00% 19401959 20 448 37 101 107 39 268 1020 19601979 22 747 117 107 38 250 388 1669 19801999 26 572 150 96 51 151 272 1318 20002007 1 35 8 13 3 4 28 92 Totals 86 2455 365 467 297 483 1590 5743 60 Figures 9 and 10: CSDMT Broad (1) Categories by Laterality Aid and Development Cultural Economic Environmental Human rights/humanitarian Law(s) of war/use of force Political/diplomatic Science Total General 39 5 333 54 318 31 258 19 1057 Plurilateral 150 99 2312 214 286 251 1220 154 4686 Totals 189 104 2645 268 604 282 1478 173 5743 Figure 11: CSDMT Broad (1) Categories with IGO Involvement Aid and Development Cultural Economic Environmental Human rights/humanitarian Law(s) of war/use of force Political/diplomatic Science Total 43 19 334 55 84 35 170 27 774 Figures 12 and 13: CSDMT Broad (1) Categories by Time Period Aid and Development Cultural Economic Environmental Human rights/ humanitarian Law(s) of war/ use of force Political/diplomatic Science Total 15001899 0 1 159 1 19001919 14 4 121 4 19201939 8 13 425 7 19401959 31 25 451 26 19601979 79 33 854 89 19801999 56 27 601 131 20002007 1 1 34 10 Totals 189 104 2645 268 19 34 116 129 149 142 15 604 34 261 2 477 35 126 5 343 31 218 6 824 88 258 12 1020 38 336 91 1669 53 252 56 1318 3 27 1 92 282 1478 173 5743 61 Endnotes 1 Examples include the Agreement Relating to the Territory of Nauru, signed November 26, 1965, entered into force November 26, 1965, 598 UNTS 81 (parties are Australia, New Zealand, and the United Kingdom of Great Britain and Northern Ireland); and the Kytoto Protocol to the United Nations Framework Convention on Climate Change, signed December 11, 1997, entered into force February 16, 2005, text available at http://unfccc.int/resource/docs/convkp/kpeng.html. 2 R.B. Mitchell, International Environmental Agreements: A Survey of Their Features, Formation, and Effects (Annu. Rev. Environ. Resour. 2003. 28:429-61: pages 429-461) 3 The Comprehensive Statistical Database of Multilateral Treaties (CSDMT) is a project of the Honors Programs at Behrend College of Pennsylvania State University. It originated in 1998 with a review by John Gamble of Christian L. Wiktor, Multilateral Treaty Calendar 1648-1995, The Hague: Martinus Nijhoff (1998) prepared for the American Journal of International Law (v. 93, pp. 565-6, 2000). Since then, many sources have been used to develop a comprehensive listing of all multilateral treaties signed during the 500-year period, 1500-1999. Each treaty has been analyzed and the following variables collected: headnote, name of instrument, treaty series and location, laterality (plurilateral/ general), signature date, force date, relation to IGOs, topic category #1 (UN's about 300, e.g., whaling), topic category #2 (about 30, e.g., maritime/oceans), topic category #3 (about 10, e.g., economic), dispute settlement provisions, reservations provisions, duration clause, length of text, official languages, regional focus, and instrument type (non-binding, supplementary, etc.) 4 The earliest treaty in the CSDMT is the following: Treaty of the Union of the Seven Northern Provinces of the Netherlands/Utrecht, signed January 23, 1579, in Sources Relating to the History of the Law of Nations. 5 C.L. Wiktor, Mutilateral Treaty Calendar 1648-1995, The Hague: Martinus Nijhoff (1998). 6 Treaty of Peace, signed October 24, 1648, 1 Parry 119. 7 Supra note 3. 8 Wiktor, Supra note 5. 9 Id., at page xxii. 10 Infra note 42. 11 Infra notes 29 and 30. 12 Anti-doping Convention, signed November 16, 1989, European Treaty Series (ETS) # 135, available at http://conventions.coe.int. 13 Amendment to the Appendix of the Anti-doping Convention, signed May 29, 1997, 2046 UNTS 110. 14 Intergovernmental organizations (IGOs) “…are permanent associations of states, created by states on the basis of a treaty, a constituent instrument variously known as charter, constitution instrument, and governed by public international law. Although international organizations are, as a rule, limited to states, they may, in exceptional cases, such as for example the Universal Postal Union (UPU), accept dependent territories as members or, like the International Labour Organisation (ILO), include a tripartite representation of government, employers, and labor. Whether a certain cooperative arrangement of states is an organization or only a standing conference is a matter of degree but, as illustrated by the case of the General Agreement of Tariffs and Trade, the feature of permanence, as reflected in the headquarters, staff, and budget are important indications for the existence of an international organization. As a rule, an international organization has a permanent secretariat, an assembly of all members, and a governing body (a council) of a limited number of members.” This information was taken from the following: B.A. Boczek, International Law: A Dictionary, Scarecrow Press (2005), at page 71. 15 D.J. Bederman, C.J. Borgen, and D.A. Martin, International Law: A Handbook for Judges, Studies in Transnational Legal Policy No. 35, ASIL (2003), at page 72: “Collectivities of nations, often called international organizations or international institutions, have become a notable feature on the landscape of international relations. Even so, the international law was rather slow in recognizing the legal status, or international legal personality, or these entities.” 16 This topic has not been extensively researched. Initial investigation to the matter has revealed that there is little information available. The CSDMT research project has decided that, so far, the best way to deal with this is check to the signature pages of the treaty. If the signature pages show signatures for each state comprising the IGO (and another for the other state), then the treaty is considered multilateral. On the other hand, if the pages show one signature representing the IGO (and one signature for the other state), it is bilateral. 17 According to the Vienna Convention on the Law of Treaties, signed May 23, 1969 (entered into force January 27, 1980), 1155 UNTS 331, at article 18, states still have treaty obligations even if the treaty they have signed is not yet 62 in force: “A state is obliged to refrain from acts which would defeat the object and purpose of a treaty when: (a) it has signed the treaty or has exchanged instruments constituting the treaty subject to ratification, acceptance or approval, until it shall have made its intention clear not to become a party to the treaty; or (b) it has expressed its consent to be bound by the treaty, pending the entry into force of the treaty and provided that such entry into force is not unduly delayed.” That being stated, treaties not in force are not “counted” in the CSDMT. 18 Universal Declaration of Human Rights, signed on December 10, 1948, 43 AJIL 127. 19 The UN’s database is available at http://treaties.un.org. This Web site contains links to all UN publications mentioned in this section. However, UN publications are also available to subscribers of HeinOnline (http://heinonline.org) at its United Nations Law Collection. I prefer to use HeinOnline to view most publications. 20 Multilateral Treaties Deposited with the Secretary-General (MTDSG), available at http://treaties.un.org/Pages/ParticipationStatus.aspx. 21 Id., at Introduction page III in both Volumes I and II. Prior to the United Nations, the League of Nations had its own treaty series called League of Nations Treaty Series (LNTS). 22 Id., at page 953 in Volume I and page 665 in Volume II (both volumes contain the same index). Hereinafter, page numbers will only be given for one volume, which will be identified. 23 Id., at pages 3 and 668 in Volume II. 24 Id., at pages 97 and 667 in Volume II. 25 Id., at pages 127, 954, and 955 in Volume I. 26 Treaty Series Cumulative Index No. 42 (2007), covering UNTS volumes 2251 to 2300, available at http://treaties.un.org/Pages/CumulativeIndexes.aspx. 27 Id. The alphabetical index begins at page 201. 28 Id. 29 To see, go to the following Web page < http://treaties.un.org/Pages/UNTSOnline.aspx?id=1> and click on “Click here to search the UNTS legacy database.” 30 After clicking on link in note 29 (supra), click on “Advanced Search.” 31 Convention on the Recovery Abroad of Maintenance signed June 20, 1956, entered into force May 5, 1957, 268 UNTS 3, registration number 3850. 32 Supra note 20, at page 301 in Volume II. 33 Supra note 26, at page 316. 34 Found in supra note 20, at page 953 in Volume I; supra note 20, at page 239; and supra notes 29 and 30. 35 Found in supra note 11, at page 203; and supra notes 14 and 15. 36 Found in supra note 20, at page 669 in Volume II. 37 Found in supra note 20, at page 276; and supra notes 29 and 30. 38 Found in supra notes 29 and 30. 39 International Covenant on Economic, Social, and Cultural Rights, signed December 16, 1966, entered into force January 3, 1976, 993 UNTS 3, registration number 14531. 40 I tried this four times. All four times I typed “International Covenant” in the keyword/phrase box. The first time I used “Social matters” and the result was a list of 754 agreements/actions. The second time I also used “Social matters” but used a drop down menu in order to search only multilaterals; the result was a screen displaying “No Records Found.” The third and fourth times I used “Human rights” as the subject because I had a clue about how the UN views this treaty’s subject matter. The “Millennium Summit Multilateral Treaty Framework: An Invitation to Universal Participation” (United Nations, September 6-8, 2000, New York, DPI/2130) included this treaty in its participation efforts and stated this while outlining its key provisions: “Of all the basic human rights standards, the International Covenant on Economic, Social and Cultural Rights provides the most important international legal framework for protecting basic human rights.” The third time, 475 documents were found. However, the fourth time, I denoted multilaterals only and there were six results, one of them being the desired treaty. See also notes 49 through 54, infra. 41 Information about these series was gather from C.L. Wiktor, Multilateral Treaty Calendar 1648-1995 (Martinus Nijhoff, 1998), at pages xli-xliv (supra note 5) and HeinOnline’s Treaties and Agreements Library at http://heinonline.org (available to subscribers only). 42 Available at http://www.state.gov/s/l/treaty/treaties/2007/index.htm 43 Id. 44 Id., at page 2. 45 http://www.treaty-accord.gc.ca/Section.asp?Page=TS 46 Id., upper-left portion of screen contains navigation pain. The links are listed under “Treaty List.” 63 47 Convention on International Trade in Endangered Species of Wild Fauna and Flora, signed March 3, 1973, entered into force July 1, 1975, 943 UNTS 243, registration number 14537. 48 First Geneva Convention for the Amelioration of the Condition of the Wounded and Sick in Armed forces in the Field; Second Geneva Convention for the Amelioration of the condition of Wounded, Sick, and Shipwrecked Members of Armed Forces At Sea; Third Geneva Convention relative to the Treatment of Prisoners of War; and Fourth Geneva Convention relative to the Protection of Civilian Persons in Time of War. 49 I have had times when searching by subject was difficult and/or unsuccessful. However, I tried searching for the same treaty used in the UN search test (supra notes 39 and 40). I used the “All” link, typed in “International Covenant”, and chose “Human rights” as the subject. I used no keywords. The result was only seven possibilities and one was the treaty. The problem, though, is that the full treaty text is unavailable. 50 http://www.austlii.edu.au/au/other/dfat/treaties/ 51 When going to Web site in note 50 (supra), one will automatically be browsing “By Year.” This option will not show up in the navigation area under “Browse.” If one clicks on one of the other options, that option will disappear from the navigation area and “By Year” will appear. 52 http://www.austlii.edu.au/au/other/dfat/reports/aitm1.html 53 http://www.austlii.edu.au/forms/search1.html?mask=au%2Fother%2Fdfat%2F 54 I tried searching for the same treaty as the UN and Canadian search tests (supra notes 39, 40, and 49). I typed in “Human rights” and the results list was just above 500. The desired treaty was the 17th one listed when sorted by relevance. These three “tests” I conducted on the UN, Canadian, and Australian search functions were planned out. I knew that the treaty was in all three treaty compilations. I also had additional information as to the correct topic category, human rights. The overall goal was to demonstrate that searching by categories is not always easy or successful. 55 http://www.eisil.org/ 56 http://www.eisil.org/index.php?sid=408977062&t=about 57 Supra note 55. The topics (subjects) listed consist of the following: General International Law; States & Groups of States; Individuals & Groups, International Organizations; International Dispute Settlement; International Economic Law; Communications & Transport; Private International Law; International Environmental Law; International Air, Space & Water; International Criminal Law; International Human Rights; International Humanitarian Law; and Use of Force. 58 The subtopics include Natural Disasters, Transboundary Cooperation, Biodiversity & Protection of Ecosystems, Protection of the Atmosphere, Nuclear Energy, Hazardous Materials & Activities, Watercourse Protection, Oceans & Marine Sources, Pollution, Antarctica & the Arctic (Polar Regions), Responsibility & Liability, Sustainable Development, Trade & Development, and Armed Conflict & Protection of the Environment: http://www.eisil.org/index.php?sid=408977062&t=sub_pages&cat=18. 59 Contains primary documents for the major sources of International Environmental Law (e.g., United Nations Framework Convention on Climate Change) as well as other important documents (Rio Declaration on Environmental and Development) and links to important Web sites about environmental law: http://www.eisil.org/index.php?sid=408977062&t=sub_pages&cat=418. 60 Sometimes, documents that do not reach treaty status (they are declarations or regulations, not a treaty) are listed. From what I have looked at on EISIL, all treaties are multilateral. However, I did not look at every single treaty available on the Web site; there may be a few bilaterals. 61 Marcie Hoffman, Berkeley, email about EISIL sent on February 24, 2010. Hoffman lists the following as “wellestablished schemes” that were used to develop the EISIL system: British Yearbook of International Law; Peace Palace Library classification; Schwerin Classification; Library of Congress classification; Netherlands Yearbook of International Law; Encyclopedia of Public International Law (Max Planck); Public International Law (bibliography) (Max Planck); Treatises: Oppenheim, Brownlie, Wallace, Buergenthal’s Nutshell, and Henkin; Restatement (3rd) of Foreign Relations Law, and other subject compilations. 62 Id. 63 Convention on Long-Range Transboundary Air Pollution, signed November 13, 1979 (entered into force March 16, 1983), 1302 UNTS 217. 64 Supra note 55. 65 Supra note 58. 66 Supra note 63. 67 Id. 64 68 P.H. Rohn, World Treaty Index (2nd ed.), Vol.1 (reference volume), Hein & Co., Inc. (1983), at page 15: “Most research in categories of treaties develops in the context of quantitative studies in political science or in those legal studies which share the methods and goals of the social sciences. These studies are typically interested in the proverbial forest rather than the trees. They ask “macro” rather than “micro” questions. They examine patterns and trends of treaties rather than details of individual treaties…However, there are always some research contexts that aim both at the forest and at the trees.” 69 Id. 70 Supra note 52. 71 See text at supra notes 31 through 33. 72 See Appendix 1: Previous CSDMT Categorization System. 73 Agreement for the Establishment of the Indian Ocean Tuna Commission, signed November 25, 1993 (entered into force March 27, 1996), 1927 UNTS 330. 74 Id., at Preamble. 75 1) J.G. Merrills, A Current Bibliography of International Law, Butterworths, London (1978); 2) R.M.M. Wallace, International Law: A Student Introduction (2nd ed.), Sweet and Maxwell (1992); 3) M. Dixon, Textbook on International Law (3rd ed.), Blackstone Press Limited (1996); 4) G.v. Glahn, Law Among nations: An introduction to Public International Law (7th ed.), Allyn and Baclon (1996); 5) P. Malanczuk, Akehurst’s Modern Introduction to International Law (7th ed.), Routledge (1997); 6) V. Epps, International Law for Undergraduates, Carolina Academic Press (1998); 7) D.J. Bederman, C.J. Borgen, and D.A. Martin, International Law: A Handbook for Judges, Studies in International Legal Policy No. 35, ASIL (2001); 8) A. Cassese, International Law, Oxford (2001); 9) Eds. M. Hoffman and J.M. Watson, ASIL Guide to Electronic Resources for International Law (2nd revised and expanded ed..), ASIL Bulletin No. 14, ASIL (2002); 10) C.C. Joyner, International Law in the 21st Century, Rowman & Littlefield (2005); 11) T. Buerfenthall and S.D. Murphy, Public International Law in a Nutshell , West Publishing Co. (2007). 76 Id., numbers 1 and 9. 77 Statue of the International Court of Justice, signed June 26, 1945, entered into force October 24, 1945, 9 Hudson 510. Article 38 is viewed as providing the sources of international law and states: “The Court, whose function is to decide in accordance with international law such disputes as are submitted to it, shall apply: a. international conventions, whether general or particular, establishing rules expressly recognized by the contesting states; b. international custom, as evidence of a general practice accepted as law; c. the general principles of law recognized by civilized nations; d. subject to the provisions of Article 59, judicial decisions and the teachings of the most highly qualified publicists of the various nations, as subsidiary means for the determination of rules of law.” 78 Rohn, supra note 68. 79 P.H. Rohn, Treaty Profiles, Clio Books (1976). 80 Id., at pages 14-15. 81 Id., at page 14. 82 Id., at pages 43-44. 83 Id., at page 10. 84 Supra note 57. 85 Dr. John K. Gamble, Distinguished Professor of Political Science and International Law 86 Statute of the International Hydrographic Bureau, signed June 21, 1921, 1 Hudson 663; Convention on the International Hydrographic Organisation, signed May 3, 1967 (entered into force September 22, 1970), 751 UNTS 41. 87 Convention for the Protection of Human Rights and Fundamental Freedoms, signed November 4, 1950 (entered into force September 3, 1953), 213 UNTS 221. 88 I tried this and “Economic” treaties remain at 46% with the Broad (2) categories counted. 89 Supra note 73. 90 Agreement on the Privileges and Immunities of the International Criminal Court, signed September 10, 2002 (entered into force July 22, 2004), 2271 UNTS 3. 91 The Antarctic Treaty, signed December 1, 1959 (entered into force June 23, 1961), 402 UNTS 71. 92 Protocol on Environmental Protection to the Antarctic Treaty, signed October 4, 1991, available at http://www.antarctica.ac.uk/about_antarctica/geopolitical/treaty/update_1991.php. ACADEMIC VITA OF Christine M. Giuliano Christine M. Giuliano PSB Mail Box #: 1166 4701 College Dr. Erie, PA 16563 [email protected] Education: Bachelor of Science in Accounting Penn State Erie, The Behrend College Major: Accounting Minor: Political science Member of Schreyer Honors College of Penn State University Research Experience: Co-author with Dr. John King Gamble, Penn State Erie, of “US Supreme Court, Medellín v. Texas: More than an Assiduous Building Inspector?” Published in Leiden Journal of International Law, Volume 22, Issue 001, pages 151-169 (Will furnish upon request in pdf) Panelist at the International Studies Association (ISA) Annual Convention in New York City, NY Presented paper entitled “Multilateral Treaties: Accommodating Subject Matter Topics” (Will furnish upon request in pdf) Manager of the Comprehensive Statistical Database of Multilateral Treaties (CSDMT) at Penn State Erie One-of-a-kind research project at Penn State Erie where information about all known multilateral treaties (from 1579 to present) is collected and analyzed Work Experience: Office assistant to Susan Penwell, realtor and REO director at Western Reserve Realty Group Inc, Girard, OH Help conduct broker price opinions of homes Process reimbursement forms Achievements and Awards 95th percentile scorer of Educational Testing Service’s (ETS) Major Field Test in Business Given to over 80,000 business students at 564 institutions Evan Pugh Scholar Award Presented to juniors and seniors at Penn State in the upper 0.5 percent of their classes Organizational Membership The International Honor Society of Beta Gamma Sigma Expected: May 2010 June 2007 to present March 2009 February 15, 2009 September 2007 to present June 2004 to present October 2009 March 2009 and 2010 May 2009 to present
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