chapter 5 Dispute settlement.ppt

1、Chapter 5 Intl Dispute Settlement,Introduction Non-judicial methods Quasi-judicial methods Judicial methods and institutions The Security Council and peaceful dispute settlement Chinas practice,Key words of this chapter,justiciable /non-justiciable amicable / compulsive settlement(和谐/强迫解决方法) retorti

2、on(反报) reprisal(报复) intervention(干涉) pacific blockade (平时封锁) jus ad bellum (诉诸战争权) negotiation (谈判) inquiry (调查) mediation/good offices (调停/斡旋) conciliation (调解/和解) award (裁决),I、Introduction,4.1 Concept of intl dispute 国际争端即国际法主体间的争端，主要是国家之间的争端，包括两个国家或多国之间的争端。,4.2 characteristics of intl dispute 国际争

3、端的主体是国家或其他国际法主体，但主要是国家。 国际争端的客体（即争端所涉事项的范围）既可以是有关法律权利的争执，也可以是政治利益的冲突或对立。 国际争端的解决要通过国际法的方法。 国际争端的解决方法由当事方自愿选择适用，国际社会不存在一个凌驾于国家之上行使裁判权的权威机关来强制解决争端。,国际争端的解决受到国际关系力量对比的制约，同样的争端在不同的情况下可能解决的办法和结果是不相同的。,4.3 Categories of Intl disputes 法律争端（legal dispute），指由法律权利冲突而引起的争端，又称为“可裁判的争端” (justiciable disputes)。 。

4、 政治争端（political dispute），指由于政治利益的冲突而引起的国际争端，在传统国际法上，又称为“不可裁判的争端” (non-justiciable disputes)。 混合型争端，指既涉及国家法律权利，也涉及国家政治利益的国际争端。 事实争端，指起因于有关争端当事国对某项事实、某种情况、某个事项的真相互相争执不下的国际争端。,4. 4 amicable settlement(和谐解决方法) and compulsive settlement(强迫解决方法) Amicable settlement includes non-judicial means, quasi-judic

5、ial means and judicial means. Compulsive settlement includes retortion(反报), reprisals(报复), intervention(干涉), pacific blockade (平时封锁) and jus ad bellum (诉诸战争权).,4.4.1 compulsive methods of intl dispute settlement 反报是指受害国以相同或类似的行为对抗施害国对本国实施的不礼貌、不友好或不公正的行为。 报复是指一个国家对另一国所采取的国际不法行为采取相应的强制措施。这种行为是例外地被允许的。

6、,2006年立陶宛俄罗斯“间谍风波”,报道说，立陶宛外交部指责俄罗斯驻立陶宛使馆一名高级外交官从事间谍活动，为此，此人为不受欢迎的人，决定将其驱逐出境。俄罗斯立即作出反应，决定对立陶宛采取报复行动：将立陶宛驻俄罗斯使馆一名外交官驱逐俄罗斯 立陶宛驱逐俄罗斯外交官，人民网国际频道，,平时封锁是指一国在和平时期用海军和空军力量封锁加害国的港口和海岸，禁止船舶进出一国的港口或领海，以迫使被封锁国接受前者提出的解决争端条件的行为。 干涉指第三国对其他两国之间的争端进行专断性干预（inteference），以迫使争端国按照干涉国的要求解决争端。 诉诸战争权是指国家有权通过发动战争来解决国际纠纷。 随着国

7、家主权平等原则、禁止在国际关系中使用武力或威胁、不干涉他国内政、和平解决国际争端等系列国际法原则的确立，上述强制性解决方法有的已经被现代国际法所废除，比如平时封锁和干涉、诉诸战争权，有的则应遵守严格的限制条件。,II. Non-judicial methods,Negotiation Inquiry Mediation/good offices Conciliation Brief comments,4.4 Negotiation (谈判，pp 67-68) 谈判是争端当事国为了解决它们之间的争端而直接进行的交涉，包括澄清事实，阐明观点，消除隔阂和误会，增进相互了解和信任，以寻求双方都能接受的

8、争端解决办法。 Negotiation is the traditional and most commonly employed method in dispute settlement. Negotiation tends to be the first stage in a process that may require to other, more formal, dispute-resolution methods.,4.5 Inquiry (调查，p 68) 调查指在特别涉及对事实问题发生分歧的国际争端中，有关争端当事国同意一个与争端没有任何关系的第三方，通过一定的方式调查有争议

9、的事实，查明是否存在争端当事国所声称的情势，以有助于争端的合理解决的一种方式。 The reference of a dispute to a process of inquiry involves the designation of a group of individuals or an institution to act as an impartial fact-finding or investigatory body.,1904年英俄“多革滩事件”,1904年日俄战争期间，俄国波罗的海舰队开赴远东，途中向北海多革滩附近的英国渔船队射击，打死了两名渔民，并使几艘船受损。两国因此发生

10、争端。英国要求俄国道歉并严惩责任军官。俄国则认为射击是由于鱼雷艇逼近所致，不同意惩处责任军官。这就是著名的北海渔船事件。 事后成立的国际调查委员会由英、俄、美、法、奥五国各派一名军官组成。经该委员会调查，发现这一事件是由于俄国波罗的海舰队司令官的判断错误所造成的，最后，俄国向英国赔偿6.5万英镑解决了争端。,2007年英伊“水兵事件”,英国国防部3月23日证实，当天有15名英国士兵在波斯湾被伊朗方面扣留。据英媒体报道，这起事故发生在23日早些时候，事发地点位于阿拉伯河，这是伊拉克和波斯湾相接的唯一水上通道。当时这15名英国士兵正在对过往的船只进行例行检查，在登上一艘伊朗船只以后，他们被伊朗方面

11、扣留。目前英国外交部已就此事召见伊朗驻英国大使，要求伊朗立刻释放被扣押的英国海员。 伊朗外交部3月23日证实在海湾扣留了15名英国海军人员。外交部发言人24日称英国军队非法“侵入”伊朗水域是一种“可疑行为”，违法了国际法和国际惯例，伊朗对此予以强烈谴责。伊外交部已召见英国驻伊朗临时代办史密斯，就英国军人“侵入”伊朗水域向英政府提出严厉抗议，同时要求英当局迅速作出解释，并保证不再发生同样事件。,英国政府对伊朗的指控予以否认，称被伊朗扣押的英国海军人员当时是在伊拉克水域里巡逻，并未进入伊朗水域，同时要求伊方尽快释放被扣人员。,联合国秘书长潘基文4月2日说，他希望伊朗和英国之间的“水兵事件”能通过外

12、交手段和平解决。他向伊朗外长穆塔基表示希望这一问题能尽快通过政治和外交磋商的方式得到解决，并表示希望这些英国水兵能尽早获释。 伊朗最高国家安全委员会秘书拉里贾尼4月2日说，有必要成立一个调查小组重新评估被扣英军士兵一事，以弄清楚他们是否进入了伊朗水域。他重申，英国必须保证今后不再发生类似事件。英国外交部随后回应说，仍在研究拉里贾尼的话，英伊之间有分歧，但“我们有共同的愿望，优先考虑双边磋商，寻找外交解决”。 . 中国新闻网,4.6 Mediation/good offices 调停是指第三方为了和平解决争端而直接参与当事国之间的谈判，或提出参考性的条件和解决方案，促使各方让步，达成和解。 斡旋

13、是指由第三方以各种有助于促成当事国进行直接谈判的行动，促使争端当事国开始谈判，或促使业已中断或未曾达成协议的谈判重新开始或继续进行。 The role of the third party is to bring the parties together, to serve as intermediary between them, to propose solutions and to explore the opportunities for settlement. 二者在实践中常常互用，并没有严格的区分。,中国为解决朝鲜半岛核问题积极努力,中新网（2006年）10月19日电 据国际在线报

14、道，日本内阁官房长官盐崎恭久19日对中国为解决朝鲜半岛核问题所做出的努力予以积极评价。 盐崎当天在东京举行的一个记者招待会上就中国国务委员唐家璇访问朝鲜发表评论说，包括中国在内的国际社会为使朝鲜不陷入孤立采取了各种措施。日本对中国的努力表示赞赏，并希望与中方保持合作，解决朝鲜半岛核问题。 中国国家主席胡锦涛的特别代表、国务委员唐家璇18日抵达朝鲜访问。19日，朝鲜劳动党总书记、国防委员会委员长金正日在平壤会见了唐家璇。唐家璇向金正日转达了胡锦涛的口信，双方就中朝关系和当前朝鲜半岛局势等问题深入交换了意见。 ,4.6 Conciliation (和解，pp 68-69) 和解有时也被称为“调解”

15、，是指争端当事国通过条约或其他形式的协议把它们之间的争端提交给一个由若干名成员组成的委员会，或特定机构，由该委员会或机构经过对争端事实的调查和评估，提出包括解决争端建议在内的报告的一种争端解决方法。 和解委员会的建议对争端方一般都没有拘束力。 Conciliation is a comparatively formal process. The contending parties need to conclude an agreement referring the dispute to a group of individuals or to an institution which wi

16、ll collect the views of the parties and then issue a report containing recommendations for dispute resolution.,4.7 Brief comments Those methods, called also as “political methods of intl dispute settlement”, may be employed to settle intl disputes of any sorts. Compared with quasi-judicial or judici

17、al methods, such methods are more friendly and leave more space to the contending parties. Recently, a combination of negotiation, fact-finding, mediation and conciliation is provided for in numerous intl institutions and mechanisms (国际条约规定的综合方法).,III. Quasi-judicial methods,Arbitration PCA,4.8 Arbi

18、tration 即争端当事国根据协议，一致同意把它们之间的争端交给自己选任的仲裁员组成仲裁庭来裁判，由仲裁庭作出具有法律约束力的裁决，并承诺服从其裁决，从而解决争端的制度。 这里的仲裁是指国家间的仲裁，有别于国际商事仲裁。,4.8.1 consent to arbitrate (p. 72) It is a basic principle of intl law that states cannot be required to arbitrate unless they have given their consent thereto, either before or after the

19、dispute has arisen.,4.8.2 intl arbitral clauses (pp 71-72) Such consent may take on different forms. There are generally three types of arbitral clauses: (1) An arbitration clause in a treaty that deals with one or more other substantive matters, which serves as a dispute resolution provision. (2) S

20、pecific treaties that establishes a method for the resolution and arbitration of whatever disputes might arise between the parties in the future.,(3) Arbitral agreement concluded after a dispute arises and aimed to settle it by arbitration. Compromis is an agreement that contains provisions for the

21、establishment and operation of the arbitral panel. It will identify the issues that are to be followed, and state the undertaking of the parties to abide by and implement the award (p 73).,4.8.3 nature and composition of arbitral tribunals (p 73) Ad hoc arbitral tribunals are established to deal wit

22、h a specific dispute, while permanent arbitral tribunals are established to decide a variety of claims. Arbitral tribunals may vary in size but are usually composed of 3 members. Each contending party may name one member, with the third one to be designated by agreement of the parties or, failing su

23、ch agreement, by the President of ICJ or some other person of intl stature.,4.8.4 applicable law and sources of law (p74) Arbitral tribunals apply intl law unless the parties specify that some other law should be applied such as the domestic law of the contending parties. Arbitral decisions of intl

24、arbitral tribunals serve as a valuable secondary source of law, although much greater weight has been given to contemporary arbitral decisions than older arbitral decisions.,4.8.5 arbitral awards (p 74) Unless the agreement provides otherwise, arbitral awards are binding on the contending parties an

25、d are not subject to appeal. In certain circumstances, the validity of arbitral awards may be challenged in national courts normally based on the following reasons: (1) the tribunal has exceeded its powers; (2) there was corruption on the part of the member of the tribunal; (3) there was a failure t

26、o state the reasons for the award or a serious departure from a fundamental rule of procedure; (4) the undertaking to arbitrate or the compromis is a nullity.,4.8.6 Permanent Court of Arbitration, PCA The Permanent Court of Arbitration (PCA) was established by the Convention for the Pacific Settleme

27、nt of International Disputes （1899年和平解决国际争端公约）, concluded at The Hague in 1899 during the first Hague Peace Conference. It is the first global mechanism for the settlement of inter-state disputes. The 1899 Convention, which provided the legal basis for the PCA, was revised at the second Hague Peace

28、Conference in 1907. There are currently 106 States which are parties to one or both of the Conventions. Each Member State may designate up to four arbitrators, known as Members of the Court. The PCA is housed in the Peace Palace in the Hague, which was completed in 1913 and specifically built to acc

29、ommodate this institution.,Under its own modern rules of procedure, the PCA administers arbitration, conciliation and fact finding in disputes involving various combinations of states, private parties and intergovernmental organizations. Not only do states more frequently seek recourse to the PCA, b

30、ut international commercial arbitration can also be conducted under PCA auspices. PCA包括常设行政理事会、国际事务局(the International Bureau)和仲裁法庭三个部门。 中国是1899和1907年两个海牙公约的原始缔约国。1949年中华人民共和国政府成立后，因为台湾当局窃占缔约国的地位，中国没有和PCA发生关系。1993年中国恢复了在PCA的活动，并在10月指派了四名仲裁员王铁崖、李浩培、邵天任和端木正。目前，邵天任仍是中国指派的仲裁员。 相关网站：/,IV.

31、Judicial methods,Arbitration and adjudication distinguished PCIJ ICJ Chinas practice,4.9 Arbitration and adjudication distinguished (p70) Both arbitral awards and judicial decisions are binding on the parties. An arbitral tribunal or panel is not a permanent judicial body. Its composition, jurisdict

32、ion and the rules of procedure it applies must be agreed upon by the parties. Intl courts, however, are permanent ones with a fixed composition. They operate under preexisting jurisdictional standards and rules of procedure. Intl courts shall apply intl law to decide the case while arbitral tribunal

33、s may apply laws specified by the parties.,4.10 introduction to intl courts (pp 77-78) Intl courts, i.e., permanent intl judicial institutions, are a relatively recent phenomenon of intl life. The Central American Court of Justice (中美洲法院，19081918) was the first such court. As there is no intl court

34、with compulsory jurisdiction over disputes among states, the threshold question for an intl court hearing a case always is the issue of whether its jurisdiction has been accepted by the states to the dispute.,States are free, as a rule, to accept jurisdiction either before a dispute has arisen or th

35、ereafter, to limit their acceptance to certain types of disputes, and to attach various conditions to the acceptance. (作为一项规则，国家既可以在争端出现前也可以在争端出现后自由地接受国际性法院的管辖权，或者只就某几类争端接受管辖权，并附加接受管辖权的各种条件。),4.11.1 Permanent Court of Intl Justice (常设国际法院, p. 78) PCIJ was established in 1920 under the auspice of the

36、 League of Nations as its judicial organ. PCIJ stopped functioning in 1939 because of World War II and was formally dissolved in 1946. PCIJ rendered some 30 judgments, 27 advisory opinions, and various interlocutory orders during its 19 year of operation.,4.11.2 Intl Court of Justice (p. 78) ICJ is

37、the successor to PCIJ. It was established by UN in 1945 as its judicial organ. Its statute or constitution, modeled on that of PCIJ, is annexed to and forms an integral part of the Charter. All UN members are ipso facto parties to the Statute of the Intl Court of Justice. States that are not UN memb

38、ers may adhere to the Statute under conditions that UN has prescribed.,4.11.3 composition and institutional structure of ICJ (p. 79) The ICJ consists of 15 judges, no two of whom may be nationals of the same state (国际法院由15名法官组成，每个国家最多有一名国民担任法官). The judges are elected to a nine-year term by the UN G

39、eneral Assembly and the Security Council and must receive an absolute majority of the votes in both organs. They may be reelected (联大和安理会分别选举法官，在联大和安理会同时获得绝对多数票者当选). 联合国大会和安全理事会于1946年2月6日分别进行了法官选举，选出15名法官。同年4月3日，国际法院在海牙召开第一次会议，宣布国际法院正式成立，院址在荷兰海牙和平宫。,In accordance with the practice, each permanent me

40、mber of the Security Council has one seat in ICJ (根据实践，每个常任理事国在国际法院都有一名本国籍法官). 1970年代以后，国际法院的席位分配基本上按照安理会理事国席位的分配：西欧4席，俄罗斯和东欧2席，拉美2席，亚洲3席，撒哈拉非洲2席，阿拉伯或北非1席，美国1席。 Judges are not representatives of their nationality state. They are entitled to proper privileges and immunities when discharging their fun

41、ctions. 对于涉及本国的案件，拥有该国籍的法官无需回避，如果当事他方在法庭中没有本国国籍的法官，则可以临时选派一名“专案法官”（judge ad hoc）参与法庭的组成。专案法官享有与其他法官完全平等的权利和义务。,4.11.4 contentious jurisdiction (诉讼管辖权)of ICJ 诉讼管辖权是指国际法院受理各国提交的争端后通过诉讼程序对具体争讼事项进行审理和判决的职权。 There are two issues concerning the contentious jurisdiction: who can be a party to the case brou

42、ght before the Court (谁可以成为案件当事方), and what cases can be brought before the Court (哪些案件可以提交法院审理)? with regard to the first issue, only states can be parties to the dispute submitted to ICJ (art. 34.1 of the Statute). The Court lacks contentious jurisdiction to deal with disputes involving individual

43、s or entities that are not states.,1999年3月24日，美国等北约国家未经安理会，以人道主义为由对南斯拉夫联盟共和国进行了空中打击行动。4月29日，南斯拉夫联邦在国际法院对比、加、法、德、意、荷、葡、西、英和美等10个北约国家分别提起了诉讼，请求法院发布临时措施，要求每个实施空中打击的国家“立即停止使用武力的行动，并禁止任何针对南联盟的威胁或使用武力的行为 。” 1999年6月2日，国际法院发布命令，以12票对4票拒绝了南联盟关于发布临时措施的请求 ，并认为对诉西班牙和美国的两个案件，法院明显缺乏管辖权。,国际法院的诉讼当事国包括三种： （1）联合国会员国；

44、 （2）非联合国会员国但为国际法院规约的当事国； （3）既非联合国会员国又非国际法院规约的当事国，但业已按照安理会规定的条件事先向国际法院秘书处交存了一项声明，表示愿意接受国际法院的管辖，保证认真执行法院的判决和承担联合国宪章第94条规定的一切义务的国家。,However, it is important not to equate adherence by a state to the Statute of ICJ with acceptance of its jurisdiction. The doors of the Court are open to a state which is

45、a party to its Statute, but whether the Court may hear a case filed by a state party to the Statute against another state party depends upon whether both have in addition accepted the Courts jurisdiction. (但是，不要把国家接受国际法院规约等同于该国接受国际法院的管辖权，弄清楚这一点十分重要。法院的大门对于规约当事国是敞开的，但法院是否能够审理一个当事国对另一当事国提起的诉讼则取决于双方是否另

46、外接受了法院的管辖权。),The second issue is somewhat complicated. 国际法院规约第36条： 一、法院之管辖包括各当事国提交之一切案件，及联合国宪章或现行条约及协约中所特定之一切事件。 二、本规约各当事国得随时声明关于具有下列性质之一切法律争端，对于接受同样义务之任何其他国家，承认法院之管辖为当然而具有强制性，不须另订特别协定： （子）条约之解释。（丑）国际法之任何问题。（寅）任何事实之存在，如经确定即属违反国际义务者。（卯）因违反国际义务而应予赔偿之性质及其范围。 三、上述声明，得无条件为之，或以数个或特定之国家间彼此拘束为条件，或以一定之期间为条件,

47、There are basically three ways in which states can submit to the jurisdiction of ICJ (pp 80-81). First, under art. 36.1 of the Statute, states can accept the jurisdiction on an ad hoc basis for the adjudication of an existing dispute. This is called “voluntary jurisdiction”.（其一为第36条第1款规定的“自愿管辖”。） Se

48、condly, also under art. 36.1, states can adhere to a treaty in which the Courts jurisdiction is accepted for cases relating to the interpretation or application of the treaty or for any other disputes that might arise. This is called “conventional jurisdiction”.,However, it is always important to de

49、termine whether a state filed a reservation to the provision on dispute resolution when ratifying such a convention. （其二为第36条第1款规定的“协定管辖”，是一种事先接受的管辖权。但必须要核实相关国家在批准或加入这类包含有事先接受国际法院管辖权条款的公约时是否对争端解决条款提出了保留。提出保留则意味着该国拒绝接受这类争端解决条款。）,中国批准防止及惩治灭绝种族罪公约并提出保留（1983年3月5日）,第五届全国人民代表大会常务委员会第二十六次会议决定：中华人民共和国批准防止及惩

50、治灭绝种族罪公约，同时声明：（一）中华人民共和国对公约第九条的规定有保留，不受该条约束；（二）台湾地方当局于1951年7月19日盗用中国名义对公约的批准是非法的、无效的。 防止及惩治灭绝种族罪公约第九条 缔约国间关于本公约的解释、适用或实施的争端，包括关于某一国家对于灭绝种族罪或第三条所列任何其他行为的责任的争端，经争端一方的请求，应提交国际法院。,Thirdly, under art. 36.2 of the Statute, states parties to the Statute may by means of a unilateral declaration undertake th

51、at they “recognize as compulsory ipso facto and without special agreement, in relation to any other state accepting the same obligation, the jurisdiction of the Court in all legal disputes” involving issues of law or fact governed by rules of intl law. This is called “optional compulsory jurisdictio

52、n”. （其三是第36条第2款规定的“任意强制管辖”，即国家事先单方声明就任择条款所列范围事项的法律争端，接受国际法院的强制管辖权。国家在做出这类声明时可以附加各种条件，也可以是无条件的。）,However, the phrase “in relation to any other states accepting the same obligation” (对于接受同样义务之其他国家) in art. 36.2 should be emphasized, which establishes the principle of reciprocity with regard to accepti

53、ng the jurisdiction of ICJ. In short, (1) a state that has made a unilateral declaration is required to respond only if sued by a state that has made a similar declaration (作出单方声明的国家仅就做出类似声明的国家的起诉予以应诉).,(2) when two unilateral declarations are involved, such jurisdiction conferred upon the Court onl

54、y to the extent to which the two declarations coincide in conferring it (如果国际法院是根据两个国家的单方面声明享有管辖权，则该管辖权仅限于两份声明中内容相一致的部分). (3) Even if a state accepts the Courts jurisdiction “unconditionally”, that state is entitled to invoke the reservation of any state that filed an action against it (即使一国单方作出的接受国

55、际法院管辖权的声明没有附加任何条件，该国仍有权援引任何对其提出诉讼的那个国家声明中所附加的条件).,截至2006年7月18日，声明接受此种管辖的国家有67个，占国际法院规约当事国（192个）的1/3。有一些国家则撤回了声明。 旧中国政府曾于1946年10月26日作了关于接受国际法院强制管辖权的单方面声明，PRC政府恢复在联合国的合法席位后，于1972年9月5日致函联合国秘书长申明原声明无效，中国至今未就该问题再作声明，也没有向国际法院提交任何争端或案件。 1947年国际法院受理了第一桩诉讼案件：科孚海峡案（英国诉阿尔巴尼亚），并于1949年就实质问题作出判决。,4.11.5 advisory

56、opinion of ICJ and its legal character (pp. 89-91) According to art. 96 of the Charter, the General Assembly or the Security Council “may request ICJ to give an advisory opinion on any legal question”. Other organs of UN and its specialized agencies, which may at any time be so authorized by the Gen

57、eral Assembly, “may also request advisory opinions of the Court on legal questions arising within the scope of their activities”. According to art. 65 of the Statute, the Court “may give an advisory opinion on any legal,question at the request of whatever body may be authorized by or in accordance w

58、ith the Charter to make such a request”. In short, only organs and specialized agencies of UN have standing to request advisory opinions from ICJ, and states and individuals have no such a standing (只有联合国机关和其专门机构有资格请求国际法院发表咨询意见，且各机关或机构请求的范围也有别). Advisory opinions are by definition non-binding. Wheth

59、er the requesting institution will be guided by or accept as obligatory the Courts ruling is a matter that is governed by the institutions internal law.,In the United Nations, it is customary for the requesting organ to vote on whether to accept the opinion. Some intl agreements provide that the advisory opinions requested by an organization is binding on the organization and the states parties. However, advisory opinions are juridical authority. They are relied upon and cited as legal authority as frequently as judgments rendered in contentious cases.,4.11.6 laws to be applied by ICJ in deci