国际环境损害赔偿的国际私法问题研究

【作者】 刘恩媛；

【导师】 陈治东；

【作者基本信息】 复旦大学 ， 国际法学， 2009， 博士

【摘要】 随着全球化程度的加深和科技的发展,环境损害事件的后果或所涉及的当事人都不再局限于一国。解决环境问题最理想的方法当然是事前预防,然而,预防手段并不能彻底杜绝环境损害事件的发生,事实上,环境损害事故时有发生,甚至接二连三,所以事后救济手段仍然非常重要。不幸的是,各国相关立法和司法实践的差异相当显著,这就大大增加了国际环境损害赔偿纠纷的复杂性和难度。因此,从国际私法角度研究国际环境损害赔偿问题就具有较高的理论价值和现实意义。国际环境损害赔偿案件是指,所涉及的当事人有一方是非内国公民或法人的;或者案件所涉当事人虽然都是内国公民或法人,但其中一方是跨国公司在内国的子公司的;或者该损害是跨国界的环境损害案件。从国际私法角度研究国际环境损害赔偿主要是分析,当发生一件具有国际因素的环境损害事故时,如何使受害人能够通过内国法院诉讼向加害人索赔。国际环境损害赔偿诉讼涉及的问题有很多,本文并非面面俱到,而只是就环境损害赔偿国际私法制度的核心问题进行探讨,研究重点主要有:国际环境损害赔偿关系的主体、管辖、法律适用和判决的承认与执行等。通过对世界主要国家相关法律制度及国际条约的研究,在分析中国现有立法的基础上,本文力图提出完善中国相关立法的构想。论文的引言部分主要阐述了对国际环境损害赔偿所涉国际私法问题进行研究的理论和实践意义、论文的研究思路和方法。论文通过对各种救济方式进行比较分析后,指出通过内国法院诉讼方式解决国际环境损害赔偿纠纷更有利于保护受害人的利益,同时也符合国际立法的发展趋势。论文采用案例研究、比较研究的方法,通过对各国国内判例和国际条约的分析,寻找较为合理的、更能保护弱者利益的立法经验和作法,以便为中国的相关实践提供有益的借鉴。第一章是对国际环境损害赔偿的概述,主要涉及到国际环境损害的概念、国际环境损害赔偿的概念、国际环境损害赔偿的归责原则、国际环境损害赔偿的构成要件以及损害赔偿责任的发展趋势等问题。第二章是关于国际环境损害赔偿法律关系主体的研究。国际环境损害赔偿法律关系的主体分为权利主体和责任主体。权利主体是指有权提起环境损害赔偿诉讼的人,各国法律一般都规定只有直接利害关系人才是合格的原告。随着环境的日益恶化,民众环保意识的提高,一些国家放宽了原告的资格,允许受到间接影响的人也可以到法院起诉。责任主体是指负有赔偿义务的人,伴随着责任保险制度的发展,除加害人外,各国立法和国际条约大都规定责任保险人或其他财务担保人也是合格的责任主体。国家作为特殊的民事主体,既可以代表民众就公共环境的损害提起索赔诉讼,也可能成为环境损害赔偿法律关系中的责任主体。第三章是研究国际环境损害赔偿案件的管辖制度。各国主要以地域管辖为基础对国际环境损害赔偿案件行使管辖权,特别是被告住所地和侵权行为地法院的管辖权更被国际条约所确认。在国际环境损害赔偿案件中最复杂的问题是对跨国公司的管辖,尽管东道国采用“揭开公司面纱”等方法加强了对跨国公司的管辖,但由于跨国公司本身结构复杂,东道国对跨国公司行使管辖权存在许多法律障碍。与东道国加强对跨国公司管辖的努力相反,跨国公司母国则常常以不方便法院为由拒绝对发生在外国的环境损害事故行使管辖。虽然近年来这种现象正逐渐得到改善,但不方便法院原则依然是跨国公司逃避司法的保护伞,这促使环境损害赔偿案件的当事人更愿意通过非诉讼方式解决纠纷。第四章是关于国际环境损害赔偿案件法律适用问题的研究。在某一具体案件中,适用哪一国法律决定了受害人是否能够获得赔偿,赔偿的数额等实体问题,因此,各国法院都非常谨慎地对待这一问题。虽然国际私法的发展趋势是选择弹性连结点来决定所适用的准据法,但侵权行为地法在解决国际环境损害赔偿纠纷中依然占有非常重要的地位;其次是选择对受害人有利的法律,这是现代立法价值提倡人文关怀在国际环境损害赔偿领域中的体现。在国际环境损害赔偿案件中有时会涉及到外国行政许可的效力问题。一般来讲,外国行政许可的效力应依据颁发国的法律来认定,法院无权对该许可证颁发禁令,但许可证不构成不承担赔偿责任的充要理由,各国法院都会根据本国法判决造成损害的许可证持有人赔偿受害人的损失。第五章是关于国际环境损害赔偿判决的承认与执行问题的研究。获得判决只是走完整个诉讼程序的第一步,判决得到执行才是真正实现了诉讼的目标。由于判决的承认与执行涉及到各国的司法主权,制订统一的关于判决承认与执行公约困难重重,目前国际上尚没有普遍性条约。环境损害赔偿判决往往都是金钱支付判决,性质上属于民商事判决,一般根据国际条约或互惠原则,符合条件的判决能够顺利地获得承认与执行。但在国际环境损害赔偿案件中一些国家的法院常常会做出惩罚性判决,惩罚性判决具有准刑罚特征,与被申请国的公共秩序冲突,经常会被拒绝承认与执行。虽然国际社会曾努力想通过签订条约来解决这一问题,但最终没能达成协议。第六章是对中国的涉外环境损害赔偿现行制度的分析及其完善。中国法律规定,只有与案件有直接利害关系的人才是合格的原告。由于中国的责任保险还不够发达,因此,除海上油污外,环境损害赔偿事故的责任主体是指加害人。在管辖方面,中国法律规定主要由侵权行为地法院管辖。在法律适用方面,中国法律也规定适用侵权行为地法。在判决的承认与执行方面,中国强调以条约和互惠为基础。从法律内容来看,中国立法陈旧,已经不适应经济发展的要求,为了解决环境与发展的矛盾,应该放宽原告的条件,积极推广责任保险制度;随着中国海外投资的逐年增加,中国也应该建立起不方便法院原则制度;在法律适用方面,应当允许当事人实行有限的意思自治,法院在选择法律时应选择对受害人有利的法律;在判决的承认与执行方面,不应再强调事实互惠,转而强调维护公共秩序和程序公正,更符合中国发展的需要。更多还原

【Abstract】 With the rapid development of modern technology and globalization, the environmental torts incidents affect more than one state. Prevention methods are the best way to settle the environmental issues. However, prevention methods could not completely eliminate the occurrence of environmental torts incidents. In fact, the environmental torts incidents occur occasionally, as a result, remedies should be provided as well. Compared with tort dispute in general, there are sharp differences among relevant national statutes and judicial practices in different countries that make the settlement of the international environmental disputes much more difficult. Hence, a systematic and thorough study on private international law issue of international environmental tort has a theoretical value and practical significance.International environmental torts mean that one of parties is non-citizen or foreign legal person, or one of parties is the subsidiary of multinationals in host country, or it is a trans-boundary environmental incident. The starting point of the dissertation is how to help the victims of international environmental incident get compensation through litigation in national court. The dissertation focuses on the private international law issues of international environmental tort, including standing parties, jurisdiction, applicable law and recognition and enforcement of judgment. With the study of national statutes of foreign countries and international treaties, the dissertation aims to provide some improvement of Chinese environmental damages system.The introductory chapter is mainly concerned about the theoretical and practical significance of the study on private international law issue of international environmental damages. Through systematic and thorough analyzing, the dissertation reveals theoretical grounds and standpoint of international instruments, national statutes and judicial practices. Compared with all kinds of remedies, the dissertation shows that the better way to protect victims is the civil litigation which meets the development trend of international environmental law. Through case study and comparing analysis, basing on judicial cases and international treaties, the dissertation aims to find a better way to protect victims in order to make a few valuable contributions to Chinese legislation and judicial practice.Chapter I gives general ideas about the private international environmental law. It mainly contains the connotation of international environmental harm and environmental damages, the principle of imputation, constitutive requirements and the development trend of environmental damages.Chapter II elaborates the standing of parties of international environmenatal damages law. The standing parties consist of the right parties and the responsibility parties. The right parties mean the person who has the right to seek compensation for damage or injury from which he personally has suffered. With the environmental deterioration and the improvement of environmental awareness among the people, the standing parties are extended to cover the person who was affected indirectly by environmental pollution in some countries. The responsibility parties mean the person who is liable to compensate. With the development of liability insurance, beside civil liable party, insurers and financial sponsors are standing responsibility parties as well according to the statutes and treaties. State, as a special civil subject, not only can claim damages representing the public, but also can be liable for the transboundary environmental damages.Chapter III focuses on jurisdiction of international environmental tort dispute. Almost every state executes jurisdiction basing on territorial contact, in which the domicile or habitual residence of defendant and the place of tort are main connections and provided in international instruments and national statues. The most complicated problem among environmental damages is how to execute jurisdiction over multinationals. Although host countries try to execute jurisdiction over multinationals by "pierce the corporate veil", there are many legal impediments for host countries to do so because of the complex construction of multinationals. Contrary to the effort of host countries, the home countries of multinationals often reject to hear the cases concerning the environmental tort in host countries according to "forum non convenience". Though the phenomenon has been changing in recent years, "forum non convenience" is the way for multinational to escape justice. Due to the fact that the international society advocate social responsibility of corporation and multinationals are concerned about their corporate image, the parties willing to settle the disputes by non-lawsuit.Chapter IV discusses the conflict of law rule in the field of environmental damage liability. The applicable law may decide substance issues, such as if the victims could get the compensation and the amount of compensation and so on, hence courts treat it with great caution. Although the elastic point of contact is the development trend of private international law, the law of place of tort plays a very importance role in environmental damages disputes. The law favorable for the injured party also is often applied, which demonstrates the human concern of modern private international law. The transboundary environmental tort cases may concern the effects of administrative authorization abroad. Generally the effects of administrative authorization abroad should be decided by the law of the state that issued the authorization, and the court of the country in which the damage occurs has no power to issue an injunction, but the permits would not exclude liability of permitholder. Genrally court will require the permitholder polluted to compensate for the losses of the injured.Chapter V concerns about the recognition and enforcement of environmental damage judgments. Getting a judgment only is the first step of litigation procedures. Enforcement of judgment is the aim of litigation. Due to the fact that the recognition and enforcement of judgments concerns the judicial supremacy, there are lots of difficulties to make a unified treaty, as a result that there is no general international treaty until now. Environmental damage judgment as money judgment is one of judgments in civil and commercial matters in nature, so it can be recognized and enforced basing on international treaties and principle of reciprocity. In fact, the court of some countries may make punitive damages awards in environmental tort and such kind of awards always are refused to enforce because punitive damages are considered the sovereignty of criminal proceedings and contrary to public policy of forum state. In order to settle the conflict, international society intended to make a unified treaty on transbandary environmental damages, but it failed at last.Chapter VI focuses on Chinese environmental damages system. In the chapter, auothor analyses exsiting Chinese environmental damages system and try to improve it. Chinese law provides that only the direct affected persons are standing parties. Due to the underdeveloped liability insurance, except ocean oil pollution, the liable party in China means the injuring party. Chinese law stipulates that the jurisdiction mainly is executed by the court of place of environmental tort; the applicable law mainly chooses the law of place of tort. However, many Chinese laws have outdated and don’t meet the requirement of economic development. In order to settle the conflict between human and environment, China should broaden the standing parties, spread liability insurance, set up forum non convenience in time with the increase of the oversea investment, provide the law favorable for victims as applicable law, strengthen public policy and procedure justice instead of de facto reciprocity as the basic term of recognition and enforcement of judgment.更多还原