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国际法庭管辖权研究
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摘要
管辖权确立是国际法庭行使裁判职能解决国际争端的前提。本文以国际争端法律解决办法为背景,对国际仲裁机构和国际司法机构(包括全球性及区域性、一般性和专门性司法机构及国际组织行政法庭)管辖权概念、权限等基本理论作了论述,对其管辖权范围及属性进行了比较分析,对管辖权争议中诸抗辩理由以及国际法庭管辖权的冲突与协调进行了研究,对国际法庭管辖权发展趋势作了较为深刻的探讨。全文除去前言和结论之外,共分六章,其中导论一章,即第一章,分论部分共五章。主要内容如下:
     总论部分与第一章,即基本理论。在本章中,作者首先对国际公法意义上的国际争端进行了界定,简要分析了国际争端解决办法;接着分析了国际争端法律解决办法之第三方介入方法——国际法庭的建立,对国际法庭建立的合法性问题进行了分析,强调以条约方式创设国际法庭具有管辖设定明确、科学性的优点,从而一定程度上保证了国际法庭公正与独立;随后,本章着重分析了国际法庭管辖权的概念及确立根据,对管辖权内涵与外延进行了界定,指出管辖权既具有程序法上的意义,也具有实体法上的意义,几乎贯穿了国际法庭司法程序的全过程。此处对管辖权涵义的界定,有助于对该问题作出全面、完善的认识。国际争端参加者要达到使争端在特定国际法庭解决之目的,应提供据以证明国际法庭对所涉争端具有管辖权的根据,本节对此也进行了分析研究;最后一节,对影响和促进国际法庭管辖权发展的主要因素——国家主权进行论述,分析了国家主权与国际法庭管辖权的辩证关系,强调了国家主权仍是当今国际法律秩序的基础,而国际法庭基本文件对其管辖权性质与范围的设定,正是二者折衷调和的产物。明确这一关系,对于在分论部分研究国际法庭管辖权的权限、范围、性质等诸问题具有重要意义。
     在第二章,作者研究了国际法庭管辖权的取得基础——同意接受原则。首先,从国际法庭实践角度对该原则进行实证分析,案例分析方法可以加深对该原则的理解,这是关于该原则必要性的研究;接着对同意的有效法律要件,包括作出同意接受表示的不同阶段及不同方式进行了论述;下面对同意撤回及同意原则例外情形进行了分析,结论是国际法庭管辖权与国家主权总体上是相容的。从该章分析可以把握主权国家接受国际法庭管辖、让渡主权的动态过程,主权国家同意接受管辖是国际法庭管辖权取得的基础,强调了主权国家同意对于国际法庭管辖权取得的重要性。
     第三章是关于国际法庭管辖权权限的分析。在第一节,作者分析了国际法庭诉讼管辖权,主要论述了主管辖权与从管辖权区别,并结合临时保全措施来着重分析从管辖权的性质,指出从管辖权是基于国际法庭诉讼程序而派生,是为维护正常诉讼活动
The determination of its jurisdiction is the precondition for international tribunals to resolve international disputes. This paper explores the preliminary role of the jurisdiction of international tribunals in the legal resolution of international disputes; analyses the nature and scope of the jurisdiction of international arbitration and justice institutions (both global and regional ones), general and special justice institutions and international administrative tribunals; studies the various demur in jurisdiction disputes and the jurisdiction disputes and their settlement between international tribunals; and anticipates the future development of the jurisdiction of international tribunals. Besides the preface and the conclusion, there are altogether six chapters, with an overview as the first chapter and the remaining five devoted to detailed analysis.The first chapter is devoted to basic theories. First, the definition of international disputes according to international law and a brief analysis of the settlement of international disputes are given. Second, the third party dispute settlement, or the establishment of international tribunals, is studies as a way to resolve international disputes. Analysis has also been done for the legitimacy and the jurisdiction of international tribunals. The importance of creating international tribunals on the basis of treaties is stressed as the key to their scientific and well-defined jurisdiction, and thus crucial to their independence and impartiality. Third, detailed analysis of the definition of the jurisdiction of the international tribunals and sources or titles of jurisdiction is made. With the connotation and extension of jurisdiction clarified, it is pointed out that jurisdiction is of great significance in both procedural and substantive law, reflected throughout the legal procedures in an international tribunal. The definition of jurisdiction given by this paper is aimed at presenting a comprehensive and improved understanding of this important concept. In order for a certain case to be heard by the international tribunal, it has to be proven to be within the jurisdiction of the international tribunal, which is also studied by this paper. Finally, sovereignty as the most important factor behind the development of the jurisdiction of international tribunals is analyzed, and so is the interactive relation between state sovereignty and the jurisdiction of international tribunals. It is emphasized that sovereignty is still the basis of international legal framework and that the identification of the scope and nature of the jurisdiction of the international tribunal usually represents a compromise between the two. With this clarified, the following detailed study on the competence to settle disputes, scope and nature of the jurisdiction of the international tribunal will not be accused of being unfounded.The second chapter studies consent as the basis of jurisdiction of the international tribunals. First of all, a case analysis is made to gain a better understanding of this
    principle and to confirm its necessity. Then, the essential valid legal elements, including the steps and forms, of consent is analyzed. In addition, the withdrawal of consent and exceptions to the consent is examined. The conclusion drawn is that generally speaking the jurisdiction of the international tribunal and the state sovereignty are compatible. This chapter examines the close relation between the acknowledgement of the jurisdiction of the international tribunal by the sovereign state and the transfer of sovereignty. It is stressed that the sovereign state's consent is very important to the jurisdiction of the international tribunals.The third chapter analyzed the scope of the jurisdiction of the international tribunal. The first part looks at its contentious jurisdiction, with focus on the difference between principle jurisdiction and incidental jurisdiction. The nature of incidental jurisdiction is studied with a view of interim measures. It is pointed out that incidental jurisdiction is a by-product of the legal proceedings in an international tribunal, which is aimed at safeguarding the proceedings and the judicial functions as well as the authority of the international tribunal. The second part deals with the scope of advisory jurisdiction, the legal binding of advisory opinion, and the reform and innovation of such a system. It is the writer's view that advisory jurisdiction, as another way to provide legal rationale for international dispute settlement, is complementary to contentious jurisdiction. But because of its lack of legal binding and the narrow scope in some international tribunals such as the International Court of Justice, advisory" jurisdiction only plays a very limited role. Therefore, two suggestions have been made to address this issue. In the third part, the writer examines the other major function of the international tribunal, that is, competence to competence or jurisdiction to determinate its own jurisdiction. The writer argues from three perspectives, namely, the practices of the international tribunal, the relation between competence to competence and clause contraire, and the relation between competence to competence and automatic or self-judging reservation, and arrives at the conclusion that whether or not it is specified in the constitutive instruments of the international tribunal, competence to competence is an implient and inherent power of the international tribunal. At the end of this chapter, a new power, that is, jurisdiction of other tribunal to decide on the competence of a tribunal, is also discussed.As an emphasis of this paper, Chapter Four vertically compares and analyses the scope and the attribute of international courts of different types. Focusing on the analysis of new characteristics and development of jurisdiction rationae personae, jurisdiction rationae materiae, jurisdiction in time and jurisdiction territoriale of each type of international courts, this chapter studies the tendency of the enlargement of jurisdiction and the increase of compulsory jurisdiction of international courts. This chapter consists of seven sections to analyse the characteristics of jurisdiction of different type of international courts. With the development of international laws and international legal relations, the scope of international court jurisdiction is continuously enlarging. For example, as we have analysed in Section
    One, the scope of PCA jurisdiction has been enlarged from arbitration between countries to arbitration between countries, international organizations, legal persons and individuals after a series of optional rules were made. Section Two analyses two special international economic dispute settlement procedures—jurisdiction scope of ICSID and DSB models. Both of the two procedures have their own jurisdiction scopes. On the jurisdiction scope of ICSID, we mainly analyse the breakthrough in the jurisdiction scope of individuals, i.e. the citizen of the signatory state to a treaty (the investor, including the natural person and the legal person) can submit arbitration to ICSID as a proper party in the dispute, which is an attempt to settle international investment dispute with international laws. As for the jurisdiction scope of DBS, we mainly analyse the evolution of the jurisdiction scope of panels events, i.e. from the fragmentation and diversity of the GATT 1947 rules to the agreements of WTO and DSU, all the disputes originating from specific agreements and those from the rights and duties prescribed by the WTO and DSU items alone or combined are in the jurisdiction scope of DBS. Thus, all the disputes are discussed with a unified dispute settlement procedure and a comprehensive and perfect jurisdiction system is established. We also analyses the limitation on the jurisdiction scope of DBS permanent appeal mechanism. Section Three mainly studies the jurisdiction scope of PCIJ and ICJ. Their uniqueness of person jurisdiction (Only states may be parties in cases before the Court) is comparatively narrow, which reflects the subject theory of traditional international laws. As a common international judicial organ, an international court has the broadest event jurisdiction and has the right to adjudicate all the cases that a country accepts. Section Four analyses the enlargement of person jurisdiction scope of ITLOS. The person jurisdiction scope of ITLOS contains not only signatory states but also Namibia, self-governing dominions, international organizations and bodies besides signatory states. The jurisdiction scope of seabed dispute is enlarged to International Seabed Administrative, state-run enterprises and natural persons or legal persons that have the nationality of the signatory state. Under this specific condition, natural persons and legal persons have the right to present before the international court, which suits the condition that international sea activities have multi-level participants. Compared to state courts, the prescription of jurisdiction of ITLOS has made great progress in the settlement of maritime dispute. This section also analyses the exclusive jurisdiction of Item 287 of UNCLOS, which prescribes the choice of binding procedures and seabed tribunal, on the disputes listed in Item 187 and analyses the compulsion of the jurisdiction. Section Five studies the jurisdiction of international administrative tribunals. Concerning the characteristics of the legal relation between international organizations and their employees, we study the unidirection of person jurisdiction and limitation of event jurisdiction. Section Six divides area international courts into general ones and special ones for analysis. Here we analyses the process how the jurisdiction of CJEC is enlarged. It is pointed out that the broadness and compulsion of their
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