国际航空侵权责任研究

【作者】 叶乃锋；

【导师】 邓瑞平；

【作者基本信息】 西南政法大学 ， 国际法学， 2007， 博士

【摘要】 国际航空侵权责任制度是现代侵权法的一个分支，也是现代国际航空法的重要组成部分，是自20世纪初期人类发明飞机以来，伴随着航空科技的发展，产生的一个独具特色又充满活力的法律领域。航空侵权损害事故具有突发性、灾难性的后果。作为国际航空私法与民法之侵权法的重要组成部分的航空侵权法，其侵权责任理论在法学界尚未引起足够的重视。本文综合采用了法解释学的方法、历史研究方法、比较研究方法、法社会学方法、判例研究方法以及国内法与国际法相结合的研究方法对国际航空侵权责任的基本理论问题进行了研究。全文由八章组成，共约30万字。第一章国际航空侵权责任的基本问题阐释，研究了民用航空器及其国籍、空间主权、国际航空等与国际航空侵权责任相关的基本概念及其理论问题，分析了国际航空侵权的概念及其种类，探讨了国际航空侵权的法律特征，阐述了国际航空运输承运人责任的性质以及合同责任与侵权责任的竞合理论，回顾了华沙体制及其发展与《罗马公约》的历史沿革；分析了国际航空侵权行为具有的特殊性、国际性、复杂性、法律适用的冲突性等特点；研究认为国际航空运输承运人责任是侵权责任与合同责任的竞合，并有向完全的侵权责任发展的趋势。第二章国际航空侵权责任的归责原则，比较分析了国际航空侵权责任归责原则的概念，论述了国际航空侵权责任的归责原则；研究认为过错责任原则和严格责任原则是航空侵权责任归责的两个基本原则，并且航空侵权责任的归责原则具有严格化的趋势；过错推定原则本质上是以过错为归责的基础，只是赋予原告举证责任倒置的权利，是过错责任原则的特例；在航空事故和航空侵权法中广泛适用的事实自证规则是普通法中的一项证据规则，不是航空侵权责任的归责原则；严格责任原则在国际航空运输承运人责任、航空器对地(水)面第三人责任、航空产品责任等领域的适用较为普遍。第三章国际航空侵权行为与责任人，以航空侵权行为的类型为标准分别论述了国际航空运输中的侵权行为、航空器对地(水)面第三人的侵权行为、航空器空中碰撞行为、航空产品侵权行为以及政府检测、空管人员的侵权行为等，并分别阐述了不同的侵权责任人；结合司法案例着重分析了国际航空运输中的人身损害事故和行李、货物损失事件的各自概念、相互区别、构成条件以及人身损害事故与劫机、旅客间的伤害行为的区别与联系；介绍了航空运输承运人在实践中的不同类型，论述了在雇主责任与代理责任的理论基础上，加害行为与责任主体的分离；分析了承运人的责任期间因人身损害与行李或货物损失的不同有所区别；分析了飞行中的航空器对地(水)面第三人的损害的责任主体有航空器经营人、航空器所有人、保险人与担保人；介绍了航空器空中碰撞行为的原因与种类，分析了航空器空中碰撞的多重责任关系；结合产品责任的一般原理，论述了飞机生产、销售、维护过程中的产品责任，探讨了飞机制造人、设计人、维护人、维修人、零部件供应商等涉及缺陷产品的侵权责任，介绍了航空器的适航性、耐撞性要求，分析了航空产品设计缺陷、制造缺陷、警示缺陷或指示缺陷的构成条件；探讨了涉及国家或政府的侵权责任，其一是与飞机适航管理相联系的航空产品检测责任，其二是与航空空中交通管制相联系的侵权责任。第四章国际航空侵权损害与受害人，阐释了作为损害事实的航空事故、国际航空侵权损害的实质，探讨了人身损害、精神损害、财产损失和航班延误损失等四类损害；论述了侵权损害与受害人具有同一性，但受害人和赔偿权利主体不同；分析了直接受害人与间接受害人的基本分类，研究认为侵害生命权的直接受害人具有二重性，应当包括生命丧失者本人及其近亲属；探讨了作为胎儿的受害人与航空环境侵权中的受害人的特殊性。第五章国际航空侵权责任的因果关系，探讨了因果关系的概念，分析了确定因果关系的各种学说，研究了因果关系适用的方法；研究认为相当因果关系说区分事实上的原因和法律上的原因，并依此确认事实上的因果关系与法律上的因果关系，可以适用于一般航空侵权责任；法规目的说与相当因果关系说可以并存而补充；在特殊案件中，以有无相当因果关系为基础和前提，并以是否符合法规目的进一步确认法律上的因果关系。第六章国际航空侵权责任的抗辩，从侵权责任抗辩的一般理论、侵权责任方、受害方、第三方、不可抗力、意外事故、原因不明等方面论述了国际航空侵权责任的抗辩事由与发展，阐述了航空侵权责任抗辩与一般侵权责任抗辩的不同与特点，重点论述了航空侵权责任抗辩对传统侵权法理论的冲击及其发展趋势；研究认为在国际航空侵权责任归责严格化的过程中，抗辩事由的范围越来越狭窄。第七章国际航空侵权损害赔偿，在论述国际航空侵权损害赔偿的价值目标、赔偿限额的基础上，结合我国的立法与实践研究了人身损害赔偿、精神损害赔偿、财产损失赔偿和航班延误赔偿；研究认为侵权损害赔偿既是一种民事责任，又是一种损害赔偿之债；国际航空侵权损害赔偿的价值目标应当追求公平与效率的衡平、补偿与惩罚的协调；当公平与效率发生冲突时，应当强调公平价值的优先地位；损害赔偿的原则包括全部赔偿原则、财产赔偿原则、衡平原则、限额赔偿原则；研究认为限额赔偿具有非正当性；华沙体制自诞生以来所面临的数次危机，归根结底是赔偿限额的危机，《蒙特利尔公约》取消对人身损害赔偿的限额是追求公平价值目标的体现；我国目前在国际航空运输与国内航空运输承运人责任中采取“内外有别”的赔偿限额是不合理的；有关国际航空侵权损害赔偿具体的赔偿范围、赔偿项目、赔偿标准等，依据受诉法院所在地法确定；人身损害赔偿依其损害后果为标准可分为一般伤害赔偿、残疾赔偿与死亡赔偿；着重研究了我国有关死亡赔偿金的性质、计算、请求权发生依据、立法沿革，指出我国在死亡赔偿金方面存在理论、立法和司法实践的误解；认为死亡赔偿金具有精神损害赔偿和财产损害赔偿的二重性，死亡赔偿金请求权的发生依据应当采双重受害人理论，研究认为我国应当消除在死亡赔偿金计算上的“城乡差别”；探讨了国际航空运输承运人责任晚近以来有关精神损害赔偿的司法实践；认为残疾赔偿金和死亡赔偿金具有精神损害赔偿的性质，具有对受害人精神痛苦或失去生命的补偿功能；分析认为财产损失赔偿与航班延误赔偿在航空运输承运人责任中均设有赔偿限额，具体的赔偿范围、计算标准依据法院地法。第八章国际航空侵权责任的发展及对我国的启示，分析了国际航空侵权责任的国际统一化趋势，总结认为国际航空侵权责任制度具有归责原则严格化、构成要件简洁化、抗辩事由狭窄化、赔偿范围扩大化、赔偿限额宽松化、赔偿责任社会化的发展走向；提出了我国构建航空侵权责任体系的立法构想及完善具体制度的思考，也是全文的结论部分。更多还原

【Abstract】 International aviation tort liability system is a branch of modern tort law, andalso an important part of modern international aviation law. Since the invention ofaircraft in early 20th century, with the development of aerial science and technology,international aviation tort liability system has become a particular and energetic areaof law. The results of damage accident of aviation tort is characterized by unforeseenand catastrophe. Though aviation tort law is an important part of international aviationprivate law and torts of civil law, not enough importance has been attached to thetheory of international aviation tort liability in the academe of law. This dissertationstudies on basic theoretic problems of international aviation tort liability, by means ofhermeneutic of law, historical method, comparative study, legal sociology, precedents,as well as researching internal and international laws together.This dissertation Consists of eight chapters, 300,000 words approximately.Chapter One deliberated on basic problems of international aviation tort liability.Elementary concepts and theoretical issues relating to international aviation tortliability are examined, such as civil aircraft and its nationality, sovereignty of airspace, international aviation, etc. This chapter analyses the concept and category ofinternational aviation tort; probes into legal characteristics of international aviationtort; expounds on the nature of international air carriers’ liability, and the concurrenttheory of contract liability and tort liability; reviews the development of Warsawsystem and evolvement of Roman Convention; expatiated on characteristics ofinternational aviation tort, which is special, international, complex and havingconflicts of laws. In conclusion, liability of international air carriers is the concurrenceof tort liability and contract liability, and it tends towards absolute tort liability.Chapter Two is given to criterion of international aviation tort liability. Bycomparing concepts regarding the criterion of international aviation tort liability,addressing criterion of international aviation tort liability, the author holds that fault liability and strict liability are fundamental principles of the imputation ofinternational aviation tort liability, and the criterion tends to be stricter. The authoralso maintains that presumptive tort doctrine is essentially based on fault inimputation, in despite of removing the burden of proof from plaintiff; it could be seenas an exception of fault liability. The rule of res ipsa loquitur, which is widely used inaviation accidents and aviation tort law, is a rule of proof in common law; it is not arule of imputation in aviation tort liability. The principle of strict liability is relativelypopular in areas like the liability of international air carriers, the liability on damageby foreign aircrafts to third parties on the surface, and the aviation product liability.Chapter Three is about international aviation tortious act and person liable.According to categories of aviation tortious act, this chapter discusses tortious act ininternational aviation carriage, tortious act by foreign aircrafts towards third parties onthe surface, midair collisions of aircrafts, aviation product tortious act and tortious actof governmental inspection & testing and air-control etc. and expounded on personliable of those aviation tortious act respectively. Referring to judicial cases, thischapter pays attention to accident of personal injury and event of baggage or cargodamage involved in international aviation carriage. Each concepts, differencesbetween and requirements are analyzed, as well as the differences and relationshipbetween personal injury accident and hijiaking or harming between passengers. Theauthor introduced various types of air carriers in practice; studies on the theory ofseparating injurious act from person liable, which is based on the theory ofemployer’s liability and agency’s liability; analyses that the liability period of carriersis different between personal injury and baggage or cargo damage; explains thatsubjects liable of damages by foreign aircrafts to third parties on the surface includesoperator of the aircraft, possessor of the aircraft, insurer and security; introducescauses and categories of aircrafts midair collisions; analyzes multiple liabilityrelationships of aircrafts midair collisions; discusses, combining general principle ofproduct liability, product liability during the process of aircrafts’ produce, sale andmaintenance; explores aircrafts’ manufacturer, designer, maintain, repairman andaccessory supplier in tort liabilities involving defective product; introduces the requirement of aircrafts in airworthiness and crashworthiness; analyzes conditionsof defective design, defective manufacture, and failure or inadequacy of warning orinstructions in aviation products; examines tort liability involving state or government,one is the inspection and testing liability of aviation products relating to airworthinesscontrol, the other is the tort liability regarding air control.Chapter Four is on damage and the injuried in international aviation tort. In thischapter, the author expounded on the aviation accident as facts of damage, and theessential of international aviation tortious damage; explores four kinds of damages, ie.personal injury, mental injury, property damage and damage of delay; explains thatdamage of tort and the injuried are identical, while the injuried and the subject ofcompensation right are distinguished; analyzes the basic sorts of direct injuried andindirect injuried. In the author’s view, the direct injuried in the infringement of rightof life is twoness, including the person died and his next-of kin. The specialness offetus as the in juried and the injuried in aviation environment tort are also dealt within this chapter.Chapter Five covers causation of international aviation tort liability. Bydiscussing the concept of causation, analyzing various theories on determining thecausation, and examining ways of the application of causation, the author comes to aconclusion that the adequate cause theory could be applicable to general aviation tortliability. This theory determines causation of facts and causation of law, on the basisof distinguishing between cause of facts and cause of law. Normzweck and theadequate cause theory can be alongside and be supplementary to each other. Whendetermining causation in special cases, whether there is the adequate cause isfundamental and pre-conditional, and whether it is in line with the aim of law issupplementary.Chapter Six is involved with defenses of international aviation tort liability. Thischapter studies on the facts of defenses and its development in international aviationtort liability, in aspects of general theory of tort liability defenses, person liable, partyinjured, third person, Act of God, casus fortuitus, the cause unidentified, and so on.The author discusses commons and distinctions between defenses of aviation tort liability and defenses of general tort liability, paying attention to the trends ofdefenses of aviation tort liability, and its challenge towards traditional tort law theory.In conclusion, the scope of defenses would be narrower and narrower, in the trends ofstricter criterion of liability.Chapter Seven expounds on the compensation of international aviation tort.Based on the value aim and limit liability of international aviation tort compensation,combining legislation and practice in the P. R. of China, the author studies on thecompensation to personal injury, compensation to mental injury, compensation toproperty damage and compensation to damage of delay. In the author’s opinion, tortcompensation is a sort of civil liability, and also a sort of obligation of compensation.The value of international aviation tort compensation should be in pursuit of thebalance between justice and efficiency, and the harmony of recouping and punishing.In case of conflicts between justice and efficiency, the value of justice should be inpriority. Doctrines of compensation are full compensation doctrine, propertycompensation doctrine, equity doctrine and limit liability doctrine. The authorconsiders limit liability as unjust. Several crises of Warsaw System since itsestablishment were the crisises of limit liability in the final analysis. MontrealConvention canceled limit liability on personal injury. That is in pursuit of the valueaim of justice. As to the current law of China, it’s unreasonable to adoptdiscriminating limit liability between international air carrier and domestic air carrier.Specific extent, item and standard of compensation in international aviation tort are tobe determined in compliance with lex fori. Compensation to personal injury could bedivided into compensation to the common injuried, compensation to the disabled andcompensation to the died. The author focuses on the nature, calculation, right of claim,grounds and legislative evolution of death compensation in China. Pointing out themisunderstanding in theory, legislation and judicial practice in respect of deathcompensation, the author considers that death compensation is both compensation tomental injury and compensation to property damage, the double-injuried theoryshould be adopted to explain the ground of right to claim for death compensation, andthe discrimination between urban and rural should be abandoned in calculating death compensation. After examining recent judicial practice about compensation to mentalinjury, the author holds that disability compensation and death compensation arecompensation to mental injury in nature, in function of compensating the mentaldistress or losing life of the injuried. Both compensation to property damage andcompensation to damage of delay are limit liability; specific extent and calculationstandard of the compensation conforms to lex fori.Chapter Eight is devoted to the development of international aviation tortliability and its enlightening to the P. R. of China. In this chapter, the author analyzesthe tendency of internationalization, concludes that the criterion of liability is stricter,the constitutive requirements of liability is more concise, defenses facts is less, extentof compensation is larger, limit liability is looser, and compensation liability is moresocialized. This dissertation ends with legislative suggestion to the system of aviationtort liability of P. R. C.更多还原