中国—东盟航权开放法律问题研究

发布时间：2018-06-17 08:54

本文选题：航权 + 航权开放　；参考：《西南政法大学》2011年硕士论文

【摘要】：在《中国-东盟航空运输协议》(以下简称《协议》)签订之初,本文着眼于中国与东盟间的航权开放,对中国-东盟航权开放的模式、《协议》中的“实质所有权与有效控制”条款以及航权开放背景下的竞争法律问题进行了研究。本文共三万余字,主要包括以下五个部分: 第一部分简要论述了航权与航权开放的基本知识,以此作为研究中国-东盟航权开放法律问题的前提与基础。GATS《航空运输服务附件》以及ICAO《国际航空运输管理手册》曾经对航权作出了界定,但都有一些瑕疵。航权的主权属性与主体往往是容易引起歧义的问题,因此有必要在定义中加以体现。故本文结合上述两个文件,对航权的定义作出了自己的总结。随后论述了航权的种类以及航权行使的内容。此外,还阐释了航权开放的含义,并对航空法历史上航权开放法律模式的发展演变进行了概括。第二部分对《协议》所采用的法律模式进行了系统的分析。“开放天空模式”主要是美国“开放天空协议”所代表的法律模式。通过对《协议》与美国“开放天空协议”进行详细的对比,总结出如下结论:《协议》主要借鉴了美国“开放天空协议”,并且二者的目的均在于航空服务的自由化,只有在运价等极少数方面还未达到美国“开放天空协议”的那种开放程度。因此,中国-东盟航权开放的模式是发展中国家在借鉴美国“开放天空协议”之先进经验的基础上,结合自身的要求而发展出来的“开放天空模式”。第三部分深入分析了中国-东盟航权开放中的“实质所有权与有效控制”条款。该条款一般表现在航空运输协议的授权以及撤销、限制和中止授权的规定中,即以是否符合“实质所有权与有效控制”为条件,决定是否授予其它缔约国指定航空企业在本国开放航线上的经营权,或撤销、限制或中止这种授权。此外,还有的航空运输协议规定了判断“实质所有权与有效控制”的标准。《协议》也保留了这个条款,同时有一些发展变化——若授权国同意并且指定国是东盟成员国时,该国可以在一定条件下指定其它一个或几个东盟成员国实质所有并有效控制的航空企业,也就是把“实质所有权与有效控制”的主体范围从成员国放宽到了整个东盟,这与东盟建立“单一航空市场”的目标是一致的。但是,协议没有规定“实质所有权与有效控制”之标准,可能给实践带来不便。最后,面对该条款的存废之争,本文认为应该保留该条款,但可以放宽实质所有并有效控制的标准,并将其纳入到《协议》中。其中,我国可以把“控股”作为实质所有与有效控制的标准,既允许我国公民对我国航空企业绝对控股,又允许相对控股。第四部分主要论述了中国-东盟航权开放的竞争法律问题。本部分首先分析了中国-东盟航权开放背景下注意规制反竞争行为的必要性。随后归纳了在国际航空运输服务中主要的不正当竞争行为,包括国家的不正当竞争行为和航空企业的不正当竞争行为。前者由国际层面的法律调整,后者则主要由各国国内竞争法律或政策调整,并且调整过程中会出现竞争法冲突的问题。还分析了《协议》关于反竞争行为的规定。最后,针对竞争法律和政策冲突,笔者建议可以借鉴《美-欧开放天空协议》附件二的先进经验,建立竞争法的合作机制。第五部分则综合地概括了全文得出的主要结论。纵观全文,本文主要的创新之处在于:第一,系统地评述了《协议》与美国开放天空协议中与航权开放相关的条款,从而对中国-东盟航权开放的法律模式进行了总结。第二,结合东盟“单一航空市场计划”的相关法律文件,对《协议》中的“实质所有权与有效控制”条款之特征、进步及不足进行了深入的分析,并对其判断标准的制定提出了建议。第三,在了解中国与东盟各国竞争法概况的基础上,分析了航空服务贸易将涉及的竞争法冲突,建议借鉴《美-欧开放天空协议》,在《协议》中纳入竞争法律与政策的合作机制。
[Abstract]:At the beginning of the signing of the China ASEAN air transport agreement (hereinafter referred to as < hereinafter referred to as < agreement >), this article focuses on the opening of the air rights between China and ASEAN, the open mode of China ASEAN air rights, the "substantive ownership and effective control" clause in the agreement, and the competition legal issues under the open air rights.
This article has a total of 30000 words, mainly including the following five parts:
The first part briefly discusses the basic knowledge of the opening of air rights and navigation rights. As a prerequisite and basis for the study of the open law of China ASEAN air rights, the.GATS< air transport service appendix and the ICAO< international air transport management manual have defined the navigation rights, but there are some defects. It is a problem that easily causes ambiguity, so it is necessary to embody it in the definition. Therefore, this paper makes a summary of the definition of navigation right with the above two documents. Then it discusses the types of navigation rights and the content of the exercise of air rights. In addition, it also explains the meaning of the opening of air rights and the open legal model of aviation rights in the history of aviation law. The development and evolution are summarized.
The second part makes a systematic analysis of the legal pattern adopted by the "open sky model", which is mainly the legal model of the "open sky agreement" in the United States. Through a detailed comparison between the "open sky agreement" and the "open sky agreement" of the United States, the following conclusions are summarized: < protocol > mainly draws lessons from the "open sky" in the United States. The purpose of the agreement, and the two is to liberate aviation services, only has not reached the openness of the "open sky agreement" of the United States only in a few aspects such as freight rates. Therefore, the opening mode of China ASEAN air rights is based on the advanced experience of the developing countries to learn from the "open sky air agreement" of the United States. The "open sky mode" developed from the requirements of the body.
The third part analyzes the terms of "substantive ownership and effective control" in the opening of China ASEAN air rights. This clause is generally manifested in the authorization of the air transport agreement, the revocation, limitation and suspension of the authorization, that is, whether it is conformed to the "substantive ownership and effective control", and decides whether or not the other Contracting States are granted. To determine the right of an airline to operate on its own open route, or to revoke, limit, or suspend such authorization. In addition, the air transport agreement stipulates the criteria for judging "substantial ownership and effective control". The agreement has also retained this clause, and there are some changes in development - if the authorized country agrees and the designated country is a member of ASEAN In a country, the country can specify, under certain conditions, an aviation enterprise that is essentially all and effectively controlled by one or several ASEAN members, which is to broaden the scope of "substantive ownership and effective control" from its member states to the whole ASEAN, which is consistent with the goal of establishing a "single aviation market" by ASEAN. There is no standard of "substantive ownership and effective control", which may bring inconvenience to practice. In the end, in the face of the dispute over the existence and abolition of the clause, this article holds that the clause should be retained, but the standard of substantial and effective control can be relaxed and incorporated into the < agreement >. The standard of effective control not only allows Chinese citizens to hold absolute control of China's aviation enterprises, but also allows relative holding.
The fourth part mainly discusses the competition law of the opening of China ASEAN air rights. This part first analyzes the necessity of regulating anti competitive behavior under the opening of China ASEAN air rights, and then sums up the main unfair competition behavior in the international air transport service, including the unfair competition behavior of the country and the aviation enterprise. The former is regulated by the law at the international level, the latter is mainly adjusted by the domestic competition laws and policies, and the conflict of competition law will appear in the process of adjustment. The provisions of the agreement on anti competitive behavior are also analyzed. Finally, the author suggests that the law and policy conflict can be used for reference to the United States and Europe. The advanced experience of annex two of open sky protocol, and the establishment of a cooperation mechanism for competition law.
The fifth part generalizes the main conclusions drawn from the full text.
In view of the full text, the main innovations of this paper are as follows: first, the article systematically reviews the terms related to the opening of the air rights in the agreement between the agreement and the open sky agreement in the United States, and summarizes the legal model of the opening of China ASEAN air rights. Second, combining the relevant legal documents of the ASEAN "single aviation market plan", the "agreement >" On the basis of the general situation of the competition law of China and ASEAN countries, the article analyses the conflict of competition law that will be involved in the aviation service trade, and proposes to draw on the "US Europe open sky agreement >", on the basis of the general situation of the competition law of China and ASEAN countries. Third The cooperation mechanism of competition law and policy should be included in the agreement.
【学位授予单位】：西南政法大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D993.4;F562

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