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Article 2: Guiding Principles

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The UNESCO Convention on the Protection and Promotion of the Diversity of Cultural Expressions

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Abstract

This provision deals with eight principles of the Convention. These principles have the function as guiding principles, which should be referred to in interpreting other provisions of the Convention. The principles of Article 2 have two functions, i.e. fundamental and operational. In order to clarify the meaning of these principles, it is indispensable to trace the legislative history from the stage of the meetings of independent experts until the very last intergovernmental meetings of experts. Then each principle should be analyzed, referring to other provisions of the Convention and operational guidelines.

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Notes

  1. 1.

    See on the legal character of principles Tietje, C. (1999). The changing legal structure of international treaties as an aspect of an emerging global governance architecture. German Yearbook of International Law, 42, 26–55, p. 37; for a general discussion on the concept of principles see also, Dworkin, R. (2000). Taking rights seriously. London: Duckworth; Randelzhofer, A. (2002). General introduction to Article 2. In B. Simma (Ed.), The Charter of the United Nations. A commentary (pp. 63–68). München: C.H. Beck, p. 64.

  2. 2.

    The following experts attended the meeting: Maalouf Amin, Kwasi Wiredu, Ivan Bernier, Tyler Cowen, Mihaly Ficsor, Toshiyuki Kono, Issiaka-Prosper Laleye, Carlos Moneta, Jean Misitelli, Antonio Rudder, Alexander Sadovnikov, David Throsby, Sabine von Schorlemer.

  3. 3.

    “Aims of the Convention” (Anthony Rudder and Carlos Moneta), “Definition and fields of application of the protection of the diversity of cultural contents and artistic expressions” (Kwasi Wiredu and David Throsby), “Relationship of the future Convention to other international instruments, particularly with the WTO General Agreement on Trade in Services (GATS) and the Agreement on Trade-Related Aspects of Intellectual Property Rights (TRIPS)” (Toshiyuki Kono and Tyler Cowen), “International cooperation and assistance” (Ivan Bernier and Issiaka-Prosper Laleye) and “Mechanism of follow-up (implementation) of the Convention” (Alexander Sadovnikov and Mihaly Ficsor). See UNESCO Doc. CLT/CPD/2003-608/01 of 20 February 2004, p. 2.

  4. 4.

    See UNESCO Doc. CLT/CPD/2003-608/01 of 20 February 2004, p. 10.

  5. 5.

    For a link to the text of this Draft, see Annex of this Commentary.

  6. 6.

    Articles 5–8 of the INCP Draft. For a link to the text of this Draft, see Annex of this Commentary.

  7. 7.

    Articles 7 and 8 of the INCP Draft. For a link to the text of this Draft, see Annex of this Commentary.

  8. 8.

    The following experts attended the meeting: Ivan Bernier, Tyler Cowen, Mihaly Ficsor, Toshiyuki Kono, Priscilla Kuye, Issiaka-Prosper Laleye, Carlos Moneta, Jean Misitelli, Bhikhu Parekh, Leila Rezk, Antonio Rudder, Alexander Sadovnikov, David Throsby, Sabine von Schorlemer.

  9. 9.

    UNESCO Doc. CLT/CPD/2004/602/6 of 14 May 2004, p. 2.

  10. 10.

    List of key points of the first expert meetings, prepared and distributed by the Secretariat (dated on 9 February 2004), without document number. Document on file with the author.

  11. 11.

    Ivan Bernier, Tyler Cowen, Mihaly Ficsor, Toshiyuki Kono, Issiaka-Prosper Laleye, Jean Musitelli, Antonio Rudder, Alexandre Sadvnikov, Sabine von Schorlemer and David Throsby.

  12. 12.

    The Secretariat prepared, based on the experts’ contributions, Working Document A with all the comments and observations and suggested formulations received from the ten experts (UNESCO Doc. CLT/CPD/2004/602/1 rev of 26 March 2004) and Working Document B with all the formulations without comments (UNESCO Doc. CLT/CPD/2004/602/2 of 26 March 2004).

  13. 13.

    UNESCO Doc. CLT/CPD/2004/602/1 rev of 26 March 2004, pp. 7–8.

  14. 14.

    UNESCO Doc. CLT/CPD/2004/602/1 rev of 26 March 2004, pp. 9–10.

  15. 15.

    One expert stated in his comments on his proposal of a Principle of cultural specificity and the autonomy of cultural policies (2.3) that it is “indicated in that article as one of the objectives of the convention. This is, however, such a central element of the convention that it seems to be justified to also confirm as a principle along with the autonomous nature of cultural policies.” (See UNESCO Doc. CLT/CPD/2004/602/1 rev of 26 March 2004, p. 8 verso.) This implies that the function of the principles is more connected to other provisions in the Convention.

  16. 16.

    UNESCO Doc. CLT/CPD/2004/602/1 rev of 26 March 2004, p. 3.

  17. 17.

    UNESCO Doc. CLT/CPD/2004/602/1 rev of 26 March 2004, p. 12.

  18. 18.

    UNESCO Doc. CLT/CPD/2004/602/1 rev of 26 March 2004, p. 5.

  19. 19.

    UNESCO Doc. CLT/CPD/2004/602/1 rev of 26 March 2004, pp. 7–10.

  20. 20.

    UNESCO Doc. CLT/CPD/2004/602/1 rev of 26 March 2004, p. 7.

  21. 21.

    UNESCO Doc. CLT/CPD/2004/602/1 rev of 26 March 2004, p. 9.

  22. 22.

    UNESCO Doc. CLT/CPD/2004/602/1 rev of 26 March 2004, p. 12.

  23. 23.

    See UNESCO Doc. CLT/CPD/2004/603/01 of 27 May 2004, pp. 5–10.

  24. 24.

    The comments submitted by the experts were integrated with the provisions in a single working document, UNESCO Doc. CLT/CPD/2004/603/01 of 27 May 2004.

  25. 25.

    See UNESCO Doc. CLT/CPD/2004/603/01 of 27 May 2004, p. 5, fn. 6 and 7.

  26. 26.

    UNESCO Doc. CLT/CPD/2004/603/5 of 23 June 2004, p. 3.

  27. 27.

    UNESCO Doc. CLT/CPD/2004/603/5 of 23 June 2004, p. 4.

  28. 28.

    UNESCO Doc. CLT/CPD/2004/603/5 of 23 June 2004, p. 4.

  29. 29.

    UNESCO Doc. CLT/CPD/2004/CONF-201/2 of July 2004.

  30. 30.

    UNESCO Doc. CLT-2004/CONF.201/9 of November 2004, p. 2; see also, UNESCO Doc. CLT-2004/CONF.201/9 of November 2004, ANNEX III, pp. 14–15.

  31. 31.

    UNESCO Doc. CLT-2004/CONF.201/9 of November 2004, p. 2.

  32. 32.

    UNESCO Doc. CLT-2004/CONF.201/9 of November 2004, p. 2.

  33. 33.

    Finland, France, Switzerland, USA, Armenia, Croatia, Hungary, Russian Federation, Barbados, Brazil, Costa Rica, Ecuador, China, India, Japan, Republic of Korea, Benin, Madagascar, Nigeria, Senegal, Algeria, Lebanon, Saudi Arabia, United Arab Emirates.

  34. 34.

    UNESCO Doc. CLT/CPD/2004/CONF.607/2 of December 2004, p. 1.

  35. 35.

    UNESCO Doc. CLT/CPD/2004/CONF.607/2 of December 2004, p. 5.

  36. 36.

    UNESCO Doc. CLT/CPD/2004/CONF.607/2 of December 2004, p. 5.

  37. 37.

    UNESCO Doc. CLT/CPD/2004/CONF.607/2 of December 2004, p. 5.

  38. 38.

    UNESCO Doc. CLT/CPD/2004/CONF.607/6 of 23 December 2004, p. 7.

  39. 39.

    UNESCO Doc. CLT/CPD/2004/CONF.607/6 of 23 December 2004, p. 28.

  40. 40.

    Option 1 of principle 2: Cultural diversity can be protected and promoted only if the full exercise of fundamental freedoms such as freedom of expression, information and communication is guaranteed. (See UNESCO Doc. CLT/CPD/2004/CONF.607/6 of 23 December 2004, p. 28.)

  41. 41.

    UNESCO Doc. CLT/CPD/2004/CONF.607/6 of 23 December 2004, p. 29.

  42. 42.

    Option 2 of principle 3: All people should be able to access a rich and diversified range of cultural expressions from all over the world, and the possibility for all cultures to have access to the means of cultural expression and dissemination are essential guarantees of cultural diversity. (UNESCO Doc. CLT/CPD/2004/CONF.607/6 of 23 December 2004, p. 29.)

  43. 43.

    UNESCO Doc. CLT/CPD/2004/CONF.607/6 of 23 December 2004, p. 30.

  44. 44.

    Option 4 of principle 4: The protection and promotion of the diversity of cultural expressions presupposes recognition of the equal dignity of all cultures. (See UNESCO Doc. CLT/CPD/2004/CONF.607/6 of 23 December 2004, p. 31.)

  45. 45.

    Option 2 of principle 5: Since culture is one of the mainsprings of development, the cultural aspects of development are as important as its economic aspects, and individuals and groups have the fundamental right to benefit from both. (See UNESCO Doc. CLT/CPD/2004/CONF.607/6 of 23 December 2004, p. 31.)

  46. 46.

    UNESCO Doc. CLT/CPD/2004/CONF.607/6 of 23 December 2004, p. 32.

  47. 47.

    UNESCO Doc. CLT/CPD/2004/CONF.607/6 of 23 December 2004, p. 33.

  48. 48.

    Option 1 of principle 7: The protection and maintenance of cultural diversity for the benefit of future generations is an essential requirement to ensure sustainable cultural development. (UNESCO Doc. CLT/CPD/2004/CONF.607/6 of 23 December 2004, p. 33.)

  49. 49.

    Option 3 of principle 7: Cultural diversity is a rich asset to individuals and societies. The maintenance of cultural diversity for the benefit of future generations is an essential requirement for the sustainability of cultural development. (See UNESCO Doc. CLT/CPD/2004/CONF.607/6 of 23 December 2004, p. 33.

  50. 50.

    UNESCO Doc. CLT/CPD/2004/CONF.607/6 of 23 December 2004, p. 34.

  51. 51.

    UNESCO Doc. CLT/CPD/2004/CONF.607/6 of 23 December 2004, p. 35.

  52. 52.

    UNESCO Doc. CLT/CPD/2004/CONF.607/6 of 23 December 2004, p. 35.

  53. 53.

    UNESCO Doc. CLT/CPD/2004/CONF.607/6 of 23 December 2004, pp. 35–36.

  54. 54.

    UNESCO Doc. CLT/CPD/2005/CONF.203/6 of 3 March 2005, p. 8.

  55. 55.

    UNESCO Doc. CLT/CPD/2005/CONF.203/6 of 3 March 2005, p. 9.

  56. 56.

    UNESCO Doc. CLT/CPD/2005/CONF.203/6 of 3 March 2005, p. 9.

  57. 57.

    UNESCO Doc. CLT/CPD/2005/CONF.203/6 of 3 March 2005, p. 9.

  58. 58.

    Some Member States, especially the United States of America wanted to avoid such terms as “protect” or “protection”. Thus these terms were square bracketed. Other square brackets were placed for later adjustment for the purpose of consistency.

  59. 59.

    UNESCO Doc. CLT/CPD/2005/CONF.203/6 of 3 March 2005, Appendix 1, pp. 13 et seq.

  60. 60.

    This recommendation is available at http://www.unesco.org/culture/culturaldiversity/ docs_pre_2007/recommendation_en_11022005.pdf. See also, UNESCO Doc. CLT/CPD/2005/CONF.203/6—Add. of 29 April 2005, p. 3.

  61. 61.

    UNESCO Doc. CLT/CPD/2005/CONF.203/6—Add. of 29 April 2005, p. 14.

  62. 62.

    UNESCO (2005). Oral report of the Rapporteur, Mr Artur Wilczynski at the closing of the third session of the Intergovernmental Meeting of Experts on the Draft Convention on the Protection of the Diversity of Cultural Contents and Artistic Expressions. http://www.unesco.org/culture/culturaldiversity/docs_pre_2007/oral_report_wilczynski_en_03062005.pdf.

  63. 63.

    At the stage of 2 June 2005, the text of this principle reads as follows: “Cultural diversity can be protected and promoted only if fundamental freedoms such as freedom of expression, information and communication, as well as the ability of individuals to choose cultural expressions, are guaranteed. No one may invoke the provisions of this Convention in order to infringe human rights as enshrined in the Universal Declaration of Human Rights or guaranteed by international law or to limit the scope thereof.” On 3 June 2005, the text was further modified and took the formulation as it is in the Convention.

  64. 64.

    This amendment was proposed by the countries of the African group.

  65. 65.

    This amendment was proposed by the countries of the African group.

  66. 66.

    UNESCO (2005). Oral report of the Rapporteur, Mr Artur Wilczynski at the closing of the third session of the Intergovernmental Meeting of Experts on the Draft Convention on the Protection of the Diversity of Cultural Contents and Artistic Expressions. http://www.unesco.org/culture/culturaldiversity/docs_pre_2007/oral_report_wilczynski_en_03062005.pdf, p. 5.

  67. 67.

    UNESCO Doc. 172 EX/20 of 11 August 2005, Annex V.

  68. 68.

    UNESCO Doc. 33 C/23 of 4 August 2005, Annex V; also, Item 8.3—Preliminary report by the Director-General setting out the situation to be regulated and the possible scope of the regulating action proposed, accompanied by the Preliminary Draft of a Convention on the Protection of the Diversity of Cultural Contents and Artistic Expressions. (UNESCO Doc. 33 C/84 Prov. (33 C/COM.IV/2) of 20 October 2005, pp. 20–35.)

  69. 69.

    The United States of America proposed amendments. Proposed were the following texts (1) as alternatives of the principles 2.2, “States have the sovereign right to adopt measures and policies, in accordance with the Charter of the United Nations, the principles of international law and their international obligations, to protect and promote the diversity of cultural expressions within their territory”, and (2) as alternative of principle 2.8, “When States adopt measures to support the diversity of cultural expressions, they should ensure openness to other cultures of the world.” (See UNESCO Doc. 33 C/COM. IV DR.4 of 13 October 2005.) The Commission IV, by means of a vote by show of hands, recommended that the General Conference not adopt this draft resolution.

  70. 70.

    UNESCO (2005). Records of the General Conference. 33rd session. Volume 1. Resolutions. http://unesdoc.unesco.org/images/0014/001428/142825e.pdf, Item 41, pp. 83–95.

  71. 71.

    See above, Sect. 2.2.1 of this comment.

  72. 72.

    UNESCO Doc. CLT/CPD/2004/603/01 of 27 May 2004, pp. 5–10.

  73. 73.

    UNESCO Doc. CLT/CPD/2004/CONF-201/2 of July 2004. (Changes emphasized.)

  74. 74.

    UNESCO Doc. CLT-2005/CONVENTION DIVERSITE-CULT REV. of 20 October 2005.

  75. 75.

    UNESCO Doc. CLT/CPD/2004/603/01 of 27 May 2004, pp. 5–10.

  76. 76.

    UNESCO Doc. CLT/CPD/2004/CONF-201/2 of July 2004. (Changes emphasized.)

  77. 77.

    Changes are emphasized.

  78. 78.

    It reads “Celebrating the importance of cultural diversity for the full realization of human rights and fundamental freedoms proclaimed in the Universal Declaration of Human Rights and other universally recognized instruments”; also see comment on the Preamble by Peter-Tobias Stoll/Sven Mißling/Johannes Jürging.

  79. 79.

    See also, comment on Article 5 by Jukka Liedes/Kimmo Aulake.

  80. 80.

    See on the legal character of principles Tietje, C. (1999). The changing legal structure of international treaties as an aspect of an emerging global governance architecture. German Yearbook of International Law, 42, 26–55, p. 37; for a general discussion on the concept of principles see also, Dworkin, R. (2000). Taking rights seriously. London: Duckworth.

  81. 81.

    See the principle of the complementarity of economic and cultural aspects of development, below Sect. 3.5 of this comment.

  82. 82.

    UNESCO Doc. CLT/CPD/2005/CONF.203/6—Add. of 29 April 2005.

  83. 83.

    Emphasis added on similar words. For a link to the INCP Draft, see Annex of this Commentary.

  84. 84.

    Emphasis added on similar words.

  85. 85.

    See also, comment on Article 5 by Jukka Liedes/Kimmo Aulake.

  86. 86.

    UNESCO Doc. CLT/CPD/2004/CONF-201/2 of July 2004.

  87. 87.

    UNESCO Doc. CLT/CPD/2005/CONF.203/6 of 3 March 2005. (Changes emphasized.) For the reasons of square-brackets, see supra note 58.

  88. 88.

    UNESCO Doc. CLT/CPD/2005/CONF.203/6—Add. of 29 April 2005.

  89. 89.

    See above, Sect. 2.1.2 of this comment.

  90. 90.

    Article II Guiding Principles II.7.b. Option B: International cooperation and solidarity should be aimed to enable all countries, especially developing countries and countries in transition, to establish cultural industries that are viable at national and international level (Principle of international solidarity and cooperation).

  91. 91.

    UNESCO Doc. CLT/CPD/2004/CONF-201/2 of July 2004.

  92. 92.

    UNESCO Doc. CLT/CPD/2005/CONF.203/6 of 3 March 2005. (Changes emphasized.)

  93. 93.

    The list of means prescribed in Article 14 of the Convention is a non-exhaustive list. See comment on Article 14 by Edna dos Santos-Duisenberg.

  94. 94.

    UNESCO Doc. CE/09/2 CP/210/7 of 30 March 2009.

  95. 95.

    UNESCO Doc. CE/08/1.EXT.IGC/3 of 3 April 2008.

  96. 96.

    UNESCO Doc. CLT/CPD/2004/603/01 of 27 May 2004, pp. 5–10.

  97. 97.

    Changes emphasized.

  98. 98.

    See Anaya, J. S. (2004). Indigenous peoples in international law. Oxford: Oxford University Press, pp. 100–103.

  99. 99.

    UNESCO Doc. CLT/CPD/2004/603/01 of 27 May 2004, pp. 5–10. (Emphasis added.)

  100. 100.

    UNESCO Doc. CLT/CPD/2004/CONF-201/2 of July 2004. (Changes emphasized.)

  101. 101.

    UNESCO Doc. CLT/CPD/2005/CONF.203/6 of 3 March 2005. (Emphasis added.)

  102. 102.

    UNESCO Doc. CLT/CPD/2005/CONF.203/6—Add. of 29 April 2005. (Changes emphasized.)

  103. 103.

    UNESCO Doc. CLT-2005/CONVENTION DIVERSITE-CULT REV. of 20 October 2005. (Changes emphasized.)

  104. 104.

    World Commission on Environment and Development (1987). Our common future. Oxford: Oxford University Press.

  105. 105.

    UNESCO Doc. CE/09/2 CP/210/7 of 30 March 2009, Annex, p. 9. Paragraph 2 in the Operational Guidelines on Article 13 (“Integration of Culture in Sustainable Development”), which were adopted in June 2009, states the “economic, cultural, social and environmental aspects of sustainable development are complementary.” (For a link to these Guidelines, see Annex of this Commentary); also UNESCO Doc. CE/09/2 CP/210/7 of 30 March 2009, Annex, p. 10, Guideline 7 states “Sustainable development is the result of a collection of policies and measures suited to national and local contexts that maintain the harmony of the local cultural ecosystem. (Emphasis added.)

  106. 106.

    UNESCO Doc. CLT/CPD/2004/603/01 of 27 May 2004, pp. 5–10. (Emphasis added.)

  107. 107.

    UNESCO Doc. CLT/CPD/2004/CONF-201/2 of July 2004. (Changes emphasized.)

  108. 108.

    UNESCO Doc. CLT/CPD/2005/CONF.203/6 of 3 March 2005. (Changes emphasized.)

  109. 109.

    UNESCO Doc. CLT-2005/CONVENTION DIVERSITE-CULT REV. of 20 October 2005. (Changes emphasized.)

  110. 110.

    UNESCO Doc. CLT/CPD/2004/603/01 of 27 May 2004, pp. 5–10. (Emphasis added.)

  111. 111.

    UNESCO Doc. CLT/CPD/2004/CONF-201/2 of July 2004. (Emphasis added.)

  112. 112.

    UNESCO Doc. CLT/CPD/2005/CONF.203/6 of 3 March 2005, p. 9.

  113. 113.

    UNESCO Doc. CLT/CPD/2005/CONF.203/6 of 3 March 2005. (Changes emphasized.)

  114. 114.

    UNESCO Doc. CLT-2005/CONVENTION DIVERSITE-CULT REV. of 20 October 2005.

  115. 115.

    See above, Sect. 2.2.2 of this comment.

  116. 116.

    Emphasis added.

  117. 117.

    “Regional economic integration organization” is defined in Article 27 para. 3 lit. e as “organization constituted by sovereign States, members of the United Nations or of any of its specialized agencies, to which those States transferred competence in respect of matters governed by this Convention and which has been duly authorized, in accordance with its internal procedures, to become a Party to it”; see comment on Article 27 by Anja Eikermann/Johannes Jürging.

  118. 118.

    Emphasis added.

  119. 119.

    Emphasis added.

  120. 120.

    Emphasis added.

  121. 121.

    Emphasis added.

References

  • Anaya, J. S. (2004). Indigenous peoples in international law. Oxford: Oxford University Press.

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  • Dworkin, R. (2000). Taking rights seriously. London: Duckworth.

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  • Randelzhofer, A. (2002). General introduction to Article 2. In B. Simma (Ed.), The Charter of the United Nations. A commentary (pp. 63–68). München: C.H. Beck.

    Google Scholar 

  • Tietje, C. (1999). The changing legal structure of international treaties as an aspect of an emerging global governance architecture. German Yearbook of International Law, 42, 26–55.

    Google Scholar 

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  1. Department of International Legal Studies, Faculty of Law, Kyushu University, 6-10-1 Hakozaki, Higashi-ku Fukuoka, 812-8581, Japan

    Toshiyuki Kono

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    Sabine von Schorlemer

  2. , Institute of for International Law, Georg August University of Göttingen, Platz der Göttinger Sieben 5, Göttingen, 37073, Germany

    Peter-Tobias Stoll

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Kono, T. (2012). Article 2: Guiding Principles. In: von Schorlemer, S., Stoll, PT. (eds) The UNESCO Convention on the Protection and Promotion of the Diversity of Cultural Expressions. Springer, Berlin, Heidelberg. https://doi.org/10.1007/978-3-642-25995-1_4

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