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善意原则在菲律宾所提起南海仲裁案中的适用评析
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摘要
善意原则是国际法的基本原则,主要体现在善意履行国际义务,特别是条约义务方面。善意原则对条约的缔结、履行、解释以及对维护整个条约法律秩序,都具有至关重要的作用。南海仲裁案从被菲律宾提起、仲裁庭受理到做出最终裁决的全过程,都呈现出对一项原则的违背,即善意原则。南海仲裁案中,"默契"地利用1982年《联合国海洋法公约》(以下简称"《公约》")的空白处,滥用《公约》所赋予的权利,恶意地使用各种文字解释技巧,随意造出各种"突破性"的概念或标准,企图将《公约》作为工具以非法的目的去损害另一方当事国的正当权益。建立在违法性基础上的最终裁决已俨然违背了《公约》的目的和宗旨,应视为无拘束力。本文旨在通过梳理善意原则的法理基础和司法实践,剖析菲律宾所提起南海仲裁案中违背善意原则的具体表征。
The principle of good faith, a basic principle of international law, is mainly manifested in the performance of international obligations, especially treaty obligations, in good faith. This principle plays a pivotal role in the conclusion, execution and interpretation of treaties, as well as the maintenance of the order of treaties and laws. From the Philippines' initiation of the South China Sea(SCS) arbitration against China, to the Arbitral Tribunal's acceptance and release of the final award of the arbitration, the case is loaded with violation of the good faith principle. In the SCS Arbitration, the Arbitral Tribunal and the Philippines, appearing to have reached a covert agreement, took advantage of the vacuum left by the 1982 United Nations Convention on the Law of the Sea(UNCLOS) to abuse their rights under the convention, and to arbitrarily coin all kinds of notions or standards unheard of, by employing all tricks of text interpretation in bad faith. By doing so, they intended to illegally jeopardize the legitimate rights and interests of China, the other party to the Arbitration, by utilizing the UNCLOS as a tool. The final award, which is founded on illegal reasoning, is obviously contrary to the object and purpose of the UNCLOS; it thus shall be considered without binding force. Collating the jurisprudential basis of the good faith principle and the relevant judicial practices, the paper aims to showcase the specific breaches of the principle in the SCS Arbitration filed by the Philippines.
引文
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    72 Memorial of the Philippines(The Republic of the Philippines v.The People’s Republic of China),30 March 2014,para.1.16.[hereinafter“Memorial”]
    73 The Mavrommatis Palestine Concessions,Judgment,Series A,No.2,PCIJ,1924,p.11.
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    81 UNCLOS,Article 283(1).
    82 UNCLOS,Article 295.
    83 UNCLOS,Preamble,para.3.
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    106 The Mavrommmatis Palestine Concessions,Judgment(Objection to the Jurisdiction of the Court),Series A,No.2,PCIJ,1924,p.11.
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    108 Memorial,para.7.11.
    109 The Republic of the Philippines v.The People’s Republic of China,Award on Jurisdiction and Admissibility,29 October 2015,para.163.
    110 The Republic of the Philippines v.The People’s Republic of China,Award on Jurisdiction and Admissibility,29 October 2015,paras.152,153,155.
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    112 [斯里兰卡]M.C.W.平托:《〈联合国海洋法公约〉的解释与“国际法治”》,载于《边界与海洋研究》2016年第2期,第43页。
    113 Robert Kolb,The International Court of Justice,Oxford:Hart Publishing,2013,p.1175.
    114 The Republic of the Philippines v.The People’s Republic of China,Award on Jurisdiction and Admissibility,29 October 2015,p.66.
    115 The Philippines,Communication dated 5 April 2011,pp.2~3,at http://www.un.org/Depts/los/clcs_new/submissions_files/vnm37_09/phl_re_chn_2011.pdf,16 February 2016.
    116 The Republic of the Philippines v.The People’s Republic of China,Final Transcript Day1 -Jurisdiction Hearing,7 July 2015,pp.44~45.
    117 高圣惕:《论南海仲裁案裁决在管辖权及可受理性问题上的事实与法律谬误》,载于《边界与海洋研究》2017年第1期,第17页。
    118 Summary of the Tribunal’s Decisions on Its Jurisdiction and on the Merits of the Philippines’Claims.
    119 Summary of the Tribunal’s Decisions on Its Jurisdiction and on the Merits of the Philippines’Claims.
    120 Summary of the Tribunal’s Decisions on Its Jurisdiction and on the Merits of the Philippines’Claims.
    121 罗刚:《国际法的真相和中菲南海仲裁案的硬伤》,下载于http://www.aisixiang.com/data/100801.html,2017年3月27日。
    122 The Republic of the Philippines v.The People’s Republic of China,Award,12 July 2016,paras.207~213.
    123 The Republic of the Philippines v.The People’s Republic of China,Final Transcript Day1 –Hearing on the Merits and Remaining Issues of Jurisdiction and Admissibility,24November 2015,p.27.
    124 黄瑶:《中国在南海断续线内的合法权益——以南海仲裁案裁决评析为视角》,载于《学术前沿》2016年第23期,第25页。
    125 黄瑶:《中国在南海断续线内的合法权益——以南海仲裁案裁决评析为视角》,载于《学术前沿》2016年第23期,第25页。
    126 罗刚:《国际法的真相和中菲南海仲裁案的硬伤》,下载于http://www.aisixiang.com/data/100801.html,2017年3月27日。
    127 李志文、马玉:《南海仲裁案中国立场的主权理论解读》,载于《太平洋学报》2016年第9期,第3页。
    128 李志文、马玉:《南海仲裁案中国立场的主权理论解读》,载于《太平洋学报》2016年第9期,第3页。
    129 李志文、马玉:《南海仲裁案中国立场的主权理论解读》,载于《太平洋学报》2016年第9期,第3页。
    130 《公约》序言:“确认本公约未予以规定的事项,应继续以一般国际法的规则和原则为准据”。
    131 The Republic of the Philippines v.The People’s Republic of China,Award,12 July 2016,para.500.
    132 The Republic of the Philippines v.The People’s Republic of China,Award,12 July 2016,para.626.
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    134 Memorial,paras.7.71~7.73.
    135 宋燕辉:《由〈南海各方行为宣言〉论“菲律宾诉中国案”仲裁法庭之管辖权问题》,载于《国际法研究》2014年第2期,第30~31页。
    136 Memorial,para.7.51.
    137 2014年12月7日《中华人民共和国政府关于菲律宾共和国所提南海仲裁案管辖权问题的立场文件》,第52段。
    138 2014年12月7日《中华人民共和国政府关于菲律宾共和国所提南海仲裁案管辖权问题的立场文件》,第31~37,53~54段。
    139 [奥]菲德罗斯等著,李浩培译:《国际法》,北京:商务印书馆1981年版,第777~778页。
    140 [英]劳特派特修订,王铁崖、陈体强译:《奥本海国际法(上卷·第二分册)》,北京:商务印书馆1972年版,第204页。
    141 冯寿波:《论条约的“善意”解释——〈维也纳条约法公约〉第31.1条“善意”的实证研究》,载于《太平洋学报》2015年第5期,第8页。
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    11 ZHAO Jianwen,The Principle of Good Faith under Treaties,Contemporary Law Review,No.4,2013,p.122.(in Chinese)
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    17E.Zoller,Good Faith in Public International Law,quoted by Michel Virally,LIU Xinsheng trans.,Notes and Comments,Review Essay:Good Faith in Public International Law,Peking University Law Journal,No.4,1984,p.55.(in Chinese)
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    21 ZHAO Jianwen,The Principle of Good Faith on the Law of Treaties,Contemporary Law Review,No.4,2013,pp.123~124.(in Chinese)
    25 LUO Guoqiang,On the Noumena of International Law,Beijing:Law Press China,2008,p.169 .(in Chinese)
    27 LI Haopei,Introduction to the Law of Treaties,Beijing:Law Press China,1987,p.329.(in Chinese)
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    30 Hersch Lauterpacht ed.,WANG Tieya and CHEN Tiqiang tans.,Oppenheim’s International Law,Vol.1,No.2,Beijing:The Commercial Press,p.365.(in Chinese)
    40 HAN Liyu,Application of the Good Faith Principle to WTO Dispute Settlement,Jurists Review,No.6,2005,p.151.(in Chinese)
    44 LIU Jingdong,The Principle of Good Faith in WTO Legal System,Beijing:Social Sciences Academic Press(China),2009,p.7.(in Chinese)
    45 FENG Shoubo,On the Treaty Interpretation in“Good Faith”:An Empirical Research on“Good Faith”in Art.31.1 of VCLT,Pacific Journal,Vol.22,No.5,2015,p.6.(in Chinese)
    46 Bin CHENG,HAN Xiuli and CAI Congyan trans.,General Principles of Law as Applied by International Courts and Tribunals,Beijing:Law Press China,2012,p.125.(in Chinese)
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    48 Spanish Civil Code,Article 7(1),and the first sentence of Article 7(2).
    50 Bin CHENG,HAN Xiuli and CAI Congyan trans.,General Principles of Law as Applied by International Courts and Tribunals,Beijing:Law Press China,2012,pp.125~140.(in Chinese)
    54 Bin CHENG,HAN Xiuli and CAI Congyan trans.,General Principles of Law as Applied by International Courts and Tribunals,Beijing:Law Press China,2012,p.126.(in Chinese)
    58 Bin CHENG,HAN Xiuli and CAI Congyan trans.,General Principles of Law as Applied by International Courts and Tribunals,Beijing:Law Press China,2012,p.128.(in Chinese)
    61 Bin CHENG,HAN Xiuli and CAI Congyan trans.,General Principles of Law as Applied by International Courts and Tribunals,Beijing:Law Press China,2012,pp.135~136.(in Chinese)
    65 LUO Gang,The Principle of Good Faith and Abuse of Procedural Rights in International Law from the Perspective of Legal Realism–Taking the SCS Arbitration as an Example,in KONG Qingjiang ed.,International Law Review,Vol.7,Beijing:Tsinghua University Press,2016,p.19.(in Chinese)
    74 LUO Gang,The Truth of International Law and Fundamental Flaws in the SCS Arbitration between China and the Philippines,at http://www.aisixiang.com/data/100801.html,27March 2017.(in Chinese)
    75 At http://asean.org/?static_post=declaration-on-the-conduct-of-parties-in-the-south-chinasea-3&category_id=32,13 May 2017.(in Chinese)
    77 Vienna Convention on the Law of Treaties,at http://www.fmprc.gov.cn/mfa_chn/ziliao_611306 /tyti_611313/t83909.shtml,2 April 2017.
    80 Song Yann-huei,“The South China Sea Arbitration Case Filed by the Philippines against China”:A Discussion on Preliminary Objections to the Tribunal’s Jurisdiction,Chinese Review of International Law,No.2,2014,p.31.(in Chinese)
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    86 Michael Sheng-ti Gau,The Jurisdiction and Admissibility Rulings of the South China Sea Arbitration:Errors in Law and in Fact,Journal of Boundary and Ocean Studies,Vol.2,No.1 ,2017,p.18.(in Chinese)
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    103 LUO Gang,The Truth of International Law and Fundamental Flaws in the SCS Arbitration between China and the Philippines,at http://www.aisixiang.com/data/100801.html,27March 2017.(in Chinese)
    104 LUO Gang,The Truth of International Law and Fundamental Flaws in the SCS Arbitration between China and the Philippines,at http://www.aisixiang.com/data/100801.html,27March 2017.(in Chinese)
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    117 Michael Sheng-ti Gau,The Jurisdiction and Admissibility Rulings of the South China Sea Arbitration:Errors in Law and in Fact,Journal of Boundary and Ocean Studies,Vol.2,No.1,2017,p.17.(in Chinese)
    121 LUO Gang,The Truth of International Law and Fundamental Flaws in the SCS Arbitration between China and the Philippines,at http://www.aisixiang.com/data/100801.html,27March 2017.(in Chinese)
    124 HUANG Yao,China’s Lawful Rights and Interests within the South China Sea Dashedline:Based on the Analysis of the South China Sea Arbitration Award,Frontiers,No.23,2016,p.25.(in Chinese)
    125 HUANG Yao,China’s Lawful Rights and Interests within the South China Sea Dashedline:Based on the Analysis of the South China Sea Arbitration Award,Frontiers,No.23,2016,p.25.(in Chinese)
    126 LUO Gang,The Truth of International Law and Fundamental Flaws in the SCS Arbitration between China and the Philippines,at http://www.aisixiang.com/data/100801.html,27March 2017.(in Chinese)
    127 LI Zhiwen and MA Yu,Interpretation of the Sovereignty Theory for China’s Position to the South China Sea Arbitration Case,Pacific Journal,No.9,2016,p.3.(in Chinese)
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    129 LI Zhiwen and MA Yu,Interpretation of the Sovereignty Theory for China’s Position to the South China Sea Arbitration Case,Pacific Journal,No.9,2016,p.3.(in Chinese)
    130 UNCLOS,Preamble:“Affirming that matters not regulated by this Convention continue to be governed by the rules and principles of general international law.”
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    137 Position Paper of the Government of the People’s Republic of China on the Matter of Jurisdiction in the South China Sea Arbitration Initiated by the Republic of the Philippines,7 December 2014,para.52.
    138 Position Paper of the Government of the People’s Republic of China on the Matter of Jurisdiction in the South China Sea Arbitration Initiated by the Republic of the Philippines,7 December 2014,paras.31~37,53~54.
    139 Alfred Verdross et al.,LI Haopei trans.,International Law,Beijing:Commercial Press,1981,pp.777~778.(in Chinese)
    140 Hersch Lauterpacht ed.,WANG Tieya and CHEN Tiqiang tans.,Oppenheim’s International Law,Vol.1,No.2,Beijing:The Commercial Press,p.204.(in Chinese)
    141 FENG Shoubo,On the Treaty Interpretation in“Good Faith”:An Empirical Research on“Good Faith”in Art.31.1 of VCLT,Pacific Journal,Vol.22,No.5,2015,p.8.(in Chinese)

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