担保国在“区域”勘探和开发中的义务研究

发布时间：2018-11-18 09:04

【摘要】：1982年《联合国海洋法公约》规定了个人和实体进行国际海底区域活动时需要缔约国提供担保,尽管担保国没有直接从事“区域”活动,但担保国需要履行相关的国际义务以确保“区域”活动的顺利进行,另一方面担保国也要尽其所能履行义务以减轻所承担的担保风险。担保国在勘探阶段的义务主要分为两类,一类是“确保”义务,一类是担保国的直接义务。担保国的“确保”义务指的是担保国需要通过制定法律法规和采取行政措施来“确保”承包者在进行“区域”活动时履行相关的义务,担保国要在其法律制度内规定:(1)进行“区域”活动承包者的主体;(2)颁发资格许可和担保书的条件;(3)承包者不遵守规定的惩罚措施;(4)确保承包者履行环境保护义务;(5)建立执行机制以便有效监督承包者在“区域”的活动;(6)执行有关国际法庭和仲裁庭的裁决。担保国的直接义务指的是担保国自身在“区域”活动中担保国自身需要履行的义务。对于担保国直接义务的履行方式有两类,一类是通过制定法律法规来履行,一类是通过担保国直接行为来履行。通过制定法律法规来履行的义务有:(1)协助管理局;(2)承包者造成损害后确保申诉可以赔偿。另一类通过担保国直接行为履行的义务有:(1)采取预先防范办法;(2)采取最佳环境做法和最佳技术;(3)进行环境影响评价;(4)承担技术转让义务;(5)制定勘探训练计划;(6)担保国终止担保需要告知海底管理局秘书长;(7)核正承包者所提交的财务报表。如果担保国没有履行其义务并因此造成了实际损害,包括“确保”义务和直接义务,那么担保国需要承担赔偿责任。在上述义务中,只有在采取预先防范办法时发展中国家担保国的标准可以低于发达国家担保国。对于担保国在“区域”开发阶段的义务,除了在勘探阶段所承担的义务外,担保国还承担的义务有:(1)在国内法中要采用严格责任归责原则;(2)协助管理局和交换信息;(3)监视承包者活动;(4)监督区域利益分享机制。我们应该注意到,1982年《联合国海洋法公约》中要求在“区域”活动中,要照顾发展中国家和地理不利国的特殊利益和需求。我国积极履行作为担保国的义务,包括制订《中华人民共和国深海海底区域资源勘探开发法》和按照国际法和国际海底管理局的相关要求履行作为担保国的义务,我国在“区域”活动中的实践履行了我国作为担保国的直接义务。随着我国“区域”活动主体的增多,如何切实履行担保国义务以有效减轻我国作为担保国的风险是我国作为担保国在“区域”活动中需要解决的问题。
[Abstract]:The 1982 United Nations Convention on the Law of the Sea provides that States parties are required to provide guarantees for the conduct of activities in the international seabed area by individuals and entities, although the sponsoring State is not directly engaged in activities in the area, The sponsoring State, however, needs to fulfil the relevant international obligations in order to ensure the smooth conduct of activities in the area and, on the other hand, the sponsoring State must do its utmost to fulfil its obligations in order to mitigate the risk of security. The obligations of the sponsoring State in the exploration stage are divided into two main categories, one is the obligation to "ensure" and the other is the direct obligation of the sponsoring State. The obligation of the sponsoring State to "ensure" the need for the sponsoring State to "ensure" the fulfilment of the relevant obligations of the contractor in carrying out its activities in the area through the adoption of laws and regulations and administrative measures, The sponsoring State shall provide in its legal system: (I) the subject of the contractor for the conduct of activities in the area; (II) conditions for the issuance of qualifications and guarantees; (III) non-compliance by the contractor with the required penalties; and (iv) ensuring compliance by the contractor with its obligations to protect the environment; (v) Establishment of enforcement mechanisms to effectively monitor the activities of contractors in the area; and (vi) enforcement of decisions of relevant international tribunals and arbitral tribunals. The direct obligation of the sponsoring State refers to the obligations to be performed by the sponsoring State itself in its own activities in the area. There are two types of performance of the direct obligation of the sponsoring State, one is by enacting laws and regulations, and the other is by the direct act of the sponsoring State. The obligations to be fulfilled by establishing laws and regulations include: (I) assisting the Authority; and (II) ensuring that the claim is compensable after the contractor has caused the damage. The other types of obligations performed through the direct conduct of the sponsoring State are: (I) a precautionary approach; (II) best environmental practices and techniques; (III) an environmental impact assessment; and (iv) an obligation to transfer technology; (v) Development of a plan for exploration training; (vi) notification by the sponsoring State to the Secretary-General of the Authority of the need to terminate the guarantee; and (VII) approval of the financial statements submitted by the contractor. If the sponsoring State fails to fulfil its obligations and thereby causes actual harm, including the obligation to "ensure" and the direct obligation, the sponsoring State is liable. Of the above obligations, the standard of sponsoring State of developing State may be lower than that of sponsoring State of developed country only when a precautionary approach is taken. With regard to the obligations of the sponsoring State in the exploitation phase of the area, in addition to its obligations during the exploration phase, the sponsoring State has the following obligations: (I) the principle of strict liability shall be applied in domestic law; (II) Assistance to the Authority and exchange of information; (III) monitoring of contractor activities; and (iv) supervision of regional benefit-sharing mechanisms. We should note that the 1982 United Nations Convention on the Law of the Sea calls for the special interests and needs of developing and geographically disadvantaged States to be taken into account in activities in the area. Actively fulfilling its obligations as a sponsoring State, including the enactment of the Law of the people's Republic of China on Exploration and Exploitation of the Resources of the Deep seabed area and the fulfilment of its obligations as a sponsoring State in accordance with international law and the relevant requirements of the International seabed Authority, Our practice in the area fulfils our direct obligations as a sponsoring State. With the increase of the subject of "area" activities in China, how to effectively fulfill the obligations of the sponsoring State in order to effectively reduce the risk of our country as a sponsoring State is a problem that needs to be solved in the activities of the "area" as a sponsoring State.
【学位授予单位】：国际关系学院
【学位级别】：硕士
【学位授予年份】：2016
【分类号】：D993.5

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