《联合国海洋法公约》附件七仲裁条款研究

发布时间：2017-12-27 22:37

  本文关键词：《联合国海洋法公约》附件七仲裁条款研究　出处：《武汉大学》2016年博士论文　论文类型：学位论文

  更多相关文章： 《联合国海洋法公约》 强制仲裁 附件七仲裁 “南海仲裁案” 海洋争端解决

【摘要】：自《联合国海洋法公约》(“《公约》”)1994年生效以来,作为一种强制仲裁,附件七仲裁的受案数目不断增加,在和平解决国际海洋争端方面异军突起。“南海仲裁案”是中国与周边国家的海洋争议首次被提交国际仲裁庭,引起广泛关注。本论文对《公约》附件七仲裁条款及其对南海争端解决的影响进行专门研究。除导论和结论外,本文的主体部分共分四章。导论部分简要介绍论题的提出,包括选题背景、选题的理论和现实意义；围绕拟研究主题对相关文献进行述评,包括国内外研究现状和研究趋势；接着对本文的研究目标、结构安排和研究方法作出说明。第一章概括考察了海洋争端仲裁的基本情况,重点讨论了《公约》附件七仲裁的规则与实践,包括附件七仲裁条款的产生过程、附件七仲裁的主要程序,并对附件七仲裁案例概况进行了初步总结,在此基础上对附件七仲裁制度理论进行了初步评论。自1994年《公约》生效以来,强制仲裁成为海洋争端仲裁解决的主要方法。《公约》规定的强制仲裁条款,特别是附件七仲裁条款,是这种新动向出现的根本原因。《公约》附件七仲裁和附件八特别仲裁既是对海洋争端国际仲裁制度的发展,也是对强制仲裁本身的创新。第二章和第三章结合附件七仲裁规则,分别以管辖权和其他程序方面的法律条文为中心,对附件七仲裁的实践进行了全面、系统、深入的研究。附件七仲裁庭的管辖权体现在属人管辖权、属事管辖权和属时管辖权三个方面,其中属事管辖权最为复杂。仲裁程序中的管辖权问题由附件七仲裁庭自已处理；此外,向海洋法法庭提起的与附件七仲裁案件相关的临时措施案中,若仲裁庭尚未建立,则由海洋法法庭处理附件七仲裁庭的初步管辖权。通常,不仅管辖权异议的决定权属于仲裁庭,而且是否将管辖权异议作为先决事项的认定权也授予仲裁庭。这样使仲裁庭在处理管辖权异议时有更明显的优势,同时使得当事各方对管辖权提出异议更为困难。无论如何,“仲裁庭自身必须确定其具有明确的管辖权”,如果出现一方不接受、不参与的情形,仲裁庭必须履行“查明提出的诉求在事实上和法律上均确有根据”的法定职责。《公约》第十五部分争端解决条款中,在附件七仲裁实践中关联度较大的条款主要包括第288条、第283条、第298条,而第295条至今没有在实践中适用过。通过对这些条文的分析发现,无论是海洋法法庭还是仲裁庭,它们的实践与附件七仲裁的法律规则之间并非总是一致,实践与实践之间也并非总是一致。这种实践的不一致性既存在于海洋法法庭处理与附件七仲裁相关的不同临时措施案件中,存在于不同仲裁案件的仲裁庭解决争端的实践中,也存在于海洋法法庭实践与仲裁庭实践中。第四章探讨《公约》争端解决机制(包括仲裁条款)与南海争端解决的相关问题。在简单回顾南海声索国和中国对《公约》争端解决机制的基本态度基础上,运用前文有关《公约》附件七仲裁条款的研究,尤其是附件七仲裁的适用条件,分析了附件七仲裁制度与南海争端解决的关系,并对即将作出最终裁决的菲律宾“南海仲裁案”进行了专门研究。中国批准《公约》意味着概括接受了《公约》的争端解决机制,包括附件七仲裁条款,中国2006年所做“第298条声明”排除的事项有限,不能囊括中国同周边海洋国家之间存在的所有争端。菲律宾“南海仲裁案”的提起和推进已经证实了这种可能性。“南海仲裁案”仲裁庭2015年10月作出的管辖权裁决具有明显的倾向性,得出的结论站不住脚,不仅使得裁决无效,而且有损仲裁庭自身的公信力和《公约》争端解决机制的健康运行。就“南海仲裁案”为止所暴露出来的附件七仲裁的严重问题,本文提出一种体制性改革设想,即把《公约》规定的谈判、协商等方式与强制调解、附件七仲裁制度三者的职能有机结合起来,同时考虑《公约》缔约国大会现有审议年度报告的职能。通过事前和事后措施加强对附件七仲裁负面性的法律控制。一是事前,通过强制调解分散附件七仲裁对事实的认定权；二是事后,《公约》缔约国大会实际上发挥一个附件七仲裁的上诉程序或复议(复审)机制的功能。这个初步设想对目前的附件七仲裁制度具有重大创新价值。结论部分总结全文主要观点,对《公约》附件七仲裁的规则与实践进行总体性评论,再次强调改革附件七仲裁制度的初步方案和意义。
[Abstract]:Since the entry into force of the United Nations Convention on the law of the sea (1994), since the entry into force of the United Nations Convention on the law of the sea (1994), as a compulsory arbitration, the number of cases of arbitration seven has been increasing. The "South China Sea arbitration case" is the first maritime dispute between China and its surrounding countries to be submitted to the international arbitration tribunal, which has attracted wide attention. This paper makes a special study on the arbitration clause of annex seven of the Convention and its impact on the settlement of the South China Sea dispute. In addition to the introduction and conclusion, the main part of this article is divided into four chapters. The introduction part briefly introduces the thesis, including the background, topics of theoretical and practical significance; review the relevant literature on the research topic, including domestic and foreign research status and research trends; then the research goal, the structure arrangement and research method, make an explanation. The first chapter examines the basic situation of maritime disputes arbitration, discusses the rules and practice of "Convention" annex seven arbitration, arbitration process, annex seven of the main procedure of arbitration clause included in Annex seven, of annex seven arbitration cases were summarized, on the basis of the preliminary comments on annex seven the arbitration system theory. Since the entry into force of the Convention in 1994, compulsory arbitration has become the main solution to arbitration for maritime disputes. The compulsory arbitration clause stipulated in the Convention, in particular the arbitration clause of annex seven, is the fundamental reason for the emergence of this new trend. The arbitration of annex seven of the Convention and the special arbitration of annex eight are both the development of the international arbitration system for maritime disputes and the innovation of the compulsory arbitration itself. The second and third chapters, combined with Annex seven arbitration rules, are centered on the provisions of jurisdiction and other procedural aspects, and conduct a comprehensive, systematic and in-depth study of annex seven arbitration practice. The jurisdiction of the arbitration tribunal of annex seven is reflected in the three aspects of personal jurisdiction, jurisdiction and the jurisdiction, the jurisdiction is the most complex. The jurisdiction in arbitration proceedings is dealt with by the arbitral tribunal of annex seven. In addition, if the arbitration tribunal is not yet established, the preliminary jurisdiction of the arbitral tribunal of annex seven shall be dealt with by the arbitration tribunal, which is related to annex seven arbitration cases, which is not established by the court of arbitration of the law of the sea. Usually, not only is the jurisdiction of the jurisdiction objection to the arbitration tribunal, but it also grants the jurisdiction of the jurisdiction to the arbitral tribunal as a prerequisite. In this way, the arbitration tribunal has a more obvious advantage in dealing with the jurisdiction objection and makes it more difficult for the parties to dissent to the jurisdiction. In any case, "the arbitral tribunal itself must determine its clear jurisdiction". If a party does not accept or participate in the case, the arbitration tribunal must perform the statutory duty of "finding out the claim is actually in accordance with the law". The fifteenth part of the dispute settlement clause of the Convention contains seven, 288th, 283rd, and 298th clauses in the arbitration practice of annex seven, and 295th articles have not been applied in practice yet. Through the analysis of these articles, it is found that the practice of maritime law courts or arbitral tribunals is not always consistent with Annex seven arbitration rules. Practice is not always consistent with practice. Such practice inconsistency exists not only in the cases of different temporary measures related to annex seven arbitration, but also exists in the practice of arbitration disputes in different arbitration cases, and also exists in the practice of maritime law tribunal and arbitration tribunal. The fourth chapter discusses the issues related to the dispute settlement mechanism of the Convention (including the arbitration clause) and the dispute settlement of the South China Sea. After a brief review of the South China Sea claimants and Chinese dispute settlement mechanism of the "Convention" of the basic attitude on the basis of research, the thesis about the "Convention" in Annex seven of the arbitration clause, especially the applicable conditions of annex seven arbitration, analyzes the relationship between annex seven and the South China Sea dispute arbitration system, and to make the final decision Philippines Nanhai arbitration case studies. China's ratification of the Convention means a general acceptance of the dispute settlement mechanism of the Convention, including annex seven arbitration clause. China's 2006 "298th statement" excludes limited items, which can not include all disputes between China and its surrounding maritime countries. This possibility has been confirmed by the promotion and promotion of the "South China Sea arbitration case" in Philippines. The arbitration rulings made by the Nanhai arbitration tribunal in October 2015 have obvious tendentiousness. The conclusion is untenable, which not only makes the ruling invalid, but also damages the credibility of the arbitration tribunal and the healthy operation of the Convention dispute settlement mechanism. On the serious problems of South China Sea arbitration "has been exposed by the annex seven arbitration, this paper proposes a system of reform, namely the" Convention "the provisions of the negotiation, consultation, and compulsory mediation, arbitration system in Annex seven to the three functions organically, considering the" Convention "the existing review conference of the States parties the annual report of the function. Strengthen the legal control of the negativity of annex seven by pre and post measures. First, the right to adjudge the facts of arbitration by annex seven is dispersed through compulsory mediation before the event; two, after the fact, the conference of the States parties to the Convention actually plays an appendix seven arbitral appeal procedure or the function of the reconsideration mechanism. This preliminary idea is of great innovation value to the current arbitration system of annex seven. The concluding part summarizes the main points of the paper, makes a general comment on the rules and practice of arbitration in Annex seven to the Convention, and emphasizes again on the initial plan and significance of reforming the arbitration system in Annex seven.
【学位授予单位】：武汉大学
【学位级别】：博士
【学位授予年份】：2016
【分类号】：D993.5
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本文编号：1343510