CH2 国际商法-ray·august奥古斯特.ppt

2-1,Chapter2,STATERESPONSIBILITYANDENVIRONMENTALREGULATION,2-2,CHAPTER2STATERESPONSIBILITYANDENVIRONMENTALREGULATION,Topicsforthischapter:StateResponsibilityStandardofCareObjectionsReliefInsuranceEnvironmentalProtection,2-3,StateResponsibility,Historically,statewasonlyresponsibletoanotherstateforaninjurytoanindividualalienorforeignbusiness.Rationaleforthiswasthatinjurytoastatesnationalisaninjurytothatstate.Liabilitydeterminedbyaninternationalstandard,notthelawsofanyparticularstate,asarguedbySec.Rootin1909.,ElihuRoot,U.S.Sec.ofState,NobelLaureate,U.S.Senator,2-4,StateResponsibilityBasisRequirements,Tworequirementstoestablishthatstateisresponsibleforaninjurytoanalienorforeignbusiness:“conductconsistingofanactionoromissionattributabletotheStateunderinternationallaw,”andtheconductmust“constituteabreachofaninternationalobligationoftheState.”Thesovereignstatemustconsenttobeingadjudgedresponsiblebyanotherstateorinternationaltribunal.,2-5,DoctrineofImputability,Underthedoctrineofimputability,astateisonlyresponsibleforactionsthatareimputableorattributabletoit.Stateisresponsibleforactsdonebyofficialswithintheirapparentauthority.Thisincludes:ActswithinthescopeofofficialsauthorityandActsoutsidetheirscopeofauthorityifthestateprovidedthemeanstoaccomplishtheact.,2-6,Case2-1SandlineInternationalInc.v.PapuaNewGuinea,SandlineclaimedPNGowedit$18millionunderagreemententeredintobyPNGofficialsundercolorofauthoritythatwasillegalunderPNGlaw.Agreementbetweenprivatepartyandstateisaninternational(notdomestic)contract.Stateisresponsibleforunauthorizedorultraviresactsofstateagentsperformedundercoverofofficialcharacter.Responsibleforactsofstateorgansevenifactsarecontrarytodomesticlawofthestate.,2-7,StateResponsibilityNonimputableActs,Whilestatesareresponsibletootherstatesandprivatepartiesfortheacts(evenultraviresacts)oftheirorgansandstateofficials,thestateisnotresponsiblefor:ActsofofficialsofotherstatesActsofinternationalorganizationsActsofinsurrectionarieswithintheirterritorySeeCase2-2forexampleofnonimputableacts.,2-8,Case2-2HomeMissionarySocietyCase,NativesofSierraLeonerevoltedagainstimpositionof“huttax”byGreatBritain.Missionsdestroyedandmissionarieskilled.U.S.claimedG.B.negligent.Tribunalheldthatnogovernmentcanbeheldresponsibleforrebelliousactsinviolationofitsauthoritywhereitactedingoodfaith.,2-9,StateSanctionedTerrorism,Terrorismisthesustainedclandestineuseofviolence.Whenstatessanctionterrorism,moststatesonlyholdtheterroriststateresponsibleforhelpingbringterroriststotrial.UnitedStatesallowssuitsagainstforeignstatesandtheirofficialsfordeathandinjuryresultingfromstate-sponsoredterroristacts.,2-10,Case2-3Flatowv.TheIslamicRep.ofIran,IranprovidedfinancialsupporttotheShaqaqifactionofPalestineIslamicJihad,aterroristgroupthatkilledU.S.citizenFlatowinsuicidebombing.IranliablebecausethesevenelementsneededtosupportacauseofactionundertheU.S.AntiterrorismandEffectiveDeathPenaltyActof1996wereprovenasfollows:,2-11,Case2-3Flatowv.TheIslamicRep.ofIran,Sevenelementstoestablishstate-sponsoredterrorism:DeathduetoextrajudicialkillingSuicidebombingbyShaqaqifactionisdeliberatekillingcarriedoutwithoutlawfulauthority.CarriedoutbyanactorreceivingsupportfromaforeignstateIransuppliedfinancialsupporttoShaqaqifaction.ResourcesprovidedbyofficialactingwithinscopeofhisorheremploymentResourcesprovidedbyIranianheadofstate.,2-12,Case2-3Flatowv.TheIslamicRep.ofIran,Sevenelementsofstate-sponsoredterrorism(continued):StatedesignatedasterrorismsponsorbytheU.S.government.Iranhadbeendesignatedasaterroriststate.Opportunitytoarbitrate(notapplicableinthiscase)PlaintifforvictimaU.S.citizenFlatowwasaU.S.citizen.SimilarconductbyU.S.officialswouldbeactionableU.S.officialswouldbeliableiftheysupportedsuicidebombingwithintheUnitedStates.,2-13,FaultandCausation,Astateisresponsiblefortheinjuriestootherstatesanditscitizensonlyiftheoffendingstateactuallycausedtheinjury.Evidencemustestablishacausalconnectionbetweentheactofthestateandtheresultinginjury.IntheCorfuChannelCase,thecourtfoundthatAlbaniawasliabletoGreatBritainfordamagetoitswarshipsbyminesbecauseAlbaniadidnotwarntheBritishortrytopreventthedisaster.AcausalrelationshipwasfoundeventhoughAlbaniadidnotlaytheminesinitsterritorialwaters.,2-14,EstablishingtheStandardofCare,Onceacausalconnectionisestablishedbetweenastatesactionandaninjury,itmustbedeterminedifthestateowedadutytootherstatesoraliens.Thisisdeterminedbyapplyingtheappropriatestandardofcare.Thetwocriteriaforestablishingtheappropriatestandardofcareare:theinternationalstandard,orthenationalstandard.,2-15,TheNationalStandardofCare,Anationalstandardofcareisadoctrineunderwhichastatemusttreataliensthesamewaythatittreatsitsownnationals.Criticsattackthisdoctrinebypointingoutthatisprovidesnoprotectionforaliensifthenationalsareilltreated.ThenationalstandardisoftensupportedbyLatinAmerican,EasternEuropean,Asian,andAfricanstatesthatmistreattheirowncitizens.,2-16,Case2-4CanteroHerrerav.Canevaro&Co.,CanteroHerrera,aCubannational,filedsuitinPeruinanattempttocollectaninheritance.CanteroHerreralostthesuit.FiveyearslatertheCubanEnvoyrequestedreparationsbaseduponanunspecifieddenialofjustice.Applyingthenationalstandardofcare,thePeruSupremeCourtfoundthatunlesstherewasadenialofjustice,thejudgmentofthesovereignwasentitledtorespect.CanteroHerrerawasnotdeniedahearing,deniedanyright,orsubjectedtoanyobjectionabletreatment.Theclaimwasdenied.,2-17,TheInternationalStandardofCare,TheinternationalstandardisfavoredbymajorWesterncountries.Thisdoctrineprovidesthatastateisresponsibleforinjuringanalienwhenthestatesconductviolatesinternationalnorms.Mistreatmentofanalienconstitutesa“delinquency”(violationofinternationalstandard)ifitamountstoanoutrage,tobadfaith,ortowillfulneglectofdutythatfallsshortofinternationalstandards.,2-18,TheInternationalStandardofCare,Delinquenciescanbeeithercrimesortorts.Stateactsareinternationalcrimesifthey:SeriouslybreachinternationalpeaceDenypeopletherightofself-determinationFailtosafeguardhumanlifeanddignity(e.g.,slaveryorgenocide)Internationaltortsincludeexpropriationanddenialofjustice.Expropriationisthetakingordeprivationofthepropertyofforeigners.,2-19,Case2-5ACSYNGOv.CSG(France)SA,FrancenationalizedthestockofCSGwhichownedstockinBelgiancompany(GSR).Belgianstockholders(ACSYNGO)arguedthattheyshouldretainownershipinGSRsoastopreventwrongfulextraterritorialeffectofFrenchdecree.Courtruledthatiffairandadequatecompensationhasbeenpaid,thenationalizationdecreeofonenationcanhaveaneffectinanothernation.,2-20,ThirdWorldArgumentonNationalizationofProperty,ThirdWorldcountriesobjecttorequirementofadequatecompensation,arguingthatpastseizuresoftheirpropertybycolonialpowersdonotjustifypaymentoffullmarketvaluewhentheybreakfromcolonialrule.TwoUNGeneralAssemblyResolutionshavetakentheThirdWorldviewpoint.Case2-6statestheThirdWorldposition.,2-21,Case2-6CaseConcerningBarcelonaTraction,Light,andPowerCo.,Ltd.,SpaniardspurchasedbondsandforcedbankruptcytodetrimentofBelgianswhoowned88%ofBarcelonaTraction,aCanadiancompany.SpainarguedthatBelgiumcouldnotactonbehalfofCanadiancompanystockholders.Courtruledthatwhenastateadmitsintoitsterritoryforeigninvestors,itisboundtoextendtothemtheprotectionofthelawandisobligedtotreatthemfairly.,2-22,Case2-6CaseConcerningBarcelonaTraction-DissentSetsForthThirdWorldPosition,Dissentingjudgearguedthatitisnottheshareholdersofthehugecorporationsthatneededprotection,butthepoorandweakstates,wheretheinvestmentstakeplace,whoneedtobeprotectedfrompowerfulforeigninvestors.Foreigninvestorstakeariskandshouldabidebythenationallawsofthestatewheretheyinvest.,2-23,DelinquencyBasedUponDenialofJustice,Denialofjusticeexists“whenthereis:adenial,unwarranteddelay,orobstructionofaccesstocourts,grossdeficiencyintheadministrationofjudicialorremedialprocess,failuretoprovidethoseguaranteeswhicharegenerallyconsideredindispensabletotheproperadministrationofjustice,oramanifestlyunjustjudgment.”,2-24,Case2-7Chattinv.UnitedMexicanStates,Chattin,arailroadconductorandU.S.citizen,wastriedforembezzlementinMexico.TrialprocedureswereincompliancewithMexicanlaw.Procedureswereinsufficientunderinternationalstandardsduetoirregularityofcourtproceedings,lackofconfrontationofwitnesses,andwithholdingofevidence.,2-25,ObjectionsToComplaintsThatStatesMayRaise,Astatemayraiseseveraltypesofobjectionstocomplaintsbroughtagainstthem:LackofstandingLackofnationalityLackofagenuinelinkFailuretoexhaustremedies,2-26,LackofStanding,Anobjectiontoaninternationaltribunalsexerciseofjurisdictionwhenaplaintiffisnotqualifiedtoappearbeforethecourt.Ex:Onlyastate,notapersonorcompany,canfileacomplaintintheInt.CourtofJustice.LackofstandingdoesnotapplytotribunalssuchasEuropeanCourtofHumanRights,wheretherightofprivatepersonstobringactionsagainstastateisallowed.,2-27,LackofNationality,Anobjectionmadetoaninternationaltribunalsexerciseofjurisdictionwhenthestatebringingthesuitfilesacomplaintonbehalfofapersonwhoisnotanationalofthatstate.CalvoClause:clauseinagreementbetweenhoststateandforeigninvestorthatsaysthattheinvestorwillnotseekdiplomaticassistanceofitshomestateindisputewithhoststate.LackofnationalitywasunsuccessfullyraisedasdefenseinCase2-6.,2-28,LackofaGenuineLink,Objectionmadetoaninternationaltribunalsexerciseofjurisdictionwhenthereisnorealandbonafiderelationshipbetweenthestatebringingthesuitandthepersononwhosebehalfthesuitisbrought.Personmaynotacquirecitizenshipinanothercountrytofacilitateclaim.Internationaltribunalsrequirethatacompanyhasagenuinelinkwithitssponsoringstate.,2-29,FailureToExhaustRemedies,Beforeapersonorcompanycanseekthehelpofitshomestatetobeingacomplaintagainstaforeignstate,thepersonorcompanymustexhaustallremediesavailabletothemintheforeignstate.Requirementiswaivedif:adequateremedynotavailableintheforeignstate,iftherequirementiswaivedbytreaty,oriftheforeignstatecausedtheinjurydirectly.,2-30,Case2-8TheM/VSaigaCaseSt.VincentandtheGrenadinesv.Guinea,M/VSaiga,anoiltanker,seizedforsellingoilinGuineaseconomiczone.Saigasnationalitylinks:OwnerCyprusManagerScotlandCharterSwitzerlandRegisteredSVGCrewUkraineCargoSwitzerland,2-31,Case2-8TheM/VSaigaCase(cont.),Guinearaisedobjections(genuinelink,failuretoexhaustremedies,lackofnationality.)CourtfoundthatunderUNCLOS:flagstatehasgenuinelinktoshipsflyingunderitsflagneednotexhaustlocalremediesflagstatehasjurisdictionoverallassociatedwithashipUNCLOSlooksatashipasaunit.Crewispartofthatunit.,2-32,ReliefAwardedToInjuredParties,Reliefthatcanbeobtainedfromstatesforinjuringanalieninclude:Restitutioninkindtheitemtakenisreturned(ship,jewels,art)Satisfactionhonoroftheinjuredstateisrestored(payfortheinsult)Compensatorydamagesmoneyispaidforthecostoftheinjurysuffered,2-33,Case2-9ReLetelierandMoffitt,Letelier(formerforeignministerofChile)andMoffittkilledincarbombinginWashington,D.C.ChilefoundliableinU.S.trialcourt.ChilerefusedtopayjudgmentbutagreedtomakeanexgratiapaymenttotheU.S.governmentonbehalfofthevictims.Appropriateexgratiapaymentisfullreparation.Reparationmustwipeoutalltheconsequencesoftheillegalactandmakethevictimswhole.,2-34,Insurance,Insuranceisthecontractualcommitmentbyaninsurertoindemnifyaninsuredagainstspecificcontingenciesandperils.Insurancemaybeavailablefromprivateinsurers,governments,andintergovernmentalagencies.Theriskscoveredrangefrominjurytocustomerstocoveringlossesfromnationalizationofpropertybyaforeigngovernment.,2-35,ExamplesofInternationalInsuranceProducts,InternationalPropertyInsuranceForeignCommercialPropertyInsurancecoversfinanciallossesfromdamagetooverseasproperty.MarineCargoInsuranceprotectsgoodsintransit.InternationalCasualtyInsuranceForeignCommercialGeneralLiabilityInsuranceprotectsagainstfinanciallossfromthird-partylawsuits.CoverageforOverseasEmployeesForeignAccidentandHealthInsurancecoversemployeesandtheirfamily.SpecialtyCoveragesPoliticalRiskInsurancecoverslossesfromtheactsbyforeigngovernments,suchasnationalizationofassets.,2-36,TheU.S.OverseasPrivateInvestmentCorporation(OPIC),Agencythatrunspoliticalriskinsuranceprogramandfinanceprogram.Offersinsuranceforlossesfrom:Expropriationusuallycreepingexpropriationwhichthroughseriesofadministrativeactsresultindeprivingpeopleoftheirproperty.CurrencyInconvertibilityguaranteesthatinvestorwillbeabletoconvertlocalcurrencyintodollars.PoliticalViolencelossfromwarandterrorism.,2-37,EnvironmentalProtection,StockholmDeclarationissuedin1972Assertsthatahealthyenvironmentisahumanrightandthatstateshavearesponsibilitynottodamagetheenvironmentofotherstates.Stateshaveasovereignrighttoexploittheirownresources,butalsohavetheresponsibilitytoensurethatactivitieswithintheirterritorydonotdamagetheenvironmentofotherstates.,2-38,EnvironmentalProtectionandtheRioDeclaration(1992),ReaffirmedtheprinciplesintheStockholmDeclaration.Linkedprotectionoftheenvironmenttotheneedforsustainabledevelopment.Promoted“supportiveandopeninternationaleconomicsystemtobetteraddresstheproblemsofenvironmentaldegradation.”Adoptedprecautionaryapproachstatesshouldnotdelayintakingactiontocorrectthreatofdamagetotheenvironment.,2-39,RegulationofPollution,Marinepollution1982UNConventionontheLawoftheSeaimposesonallstatestheobligationtoprotectandpreservethemarineenvironment.Statesmusttakemeasurestominimize:Thereleaseoftoxic,harmful,ornoxioussubstancesfromland-basedsources.Pollutionfromve