海上拦截合法性的国际法分析
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摘要
1990年海湾战争期间,以美国为首的盟国海军实施了首次现代海上拦截。进入21世纪以来,全球海上安全形势愈发不容乐观。欧美国家所构建的弹性、高效、规范、快速的海上拦截行动机制逐渐成为应对海洋安全威胁、实施海洋安全战略的基石。现代海上拦截主要是由军舰或者合法授权的政府公务船舶实施的拦截某类物资或者人员进出某个国家或者特定地区的行动。它本质上是一种控制紧张局势加剧和武力对抗升级的机制,是海上武力的低烈度运用,既适用于平时,也适用于战时或者武装冲突期间。它与海上封锁、临检和拿捕、紧追、中立、隔离都有一定的历史渊源。海上拦截是对海洋自由的一种限制,其适用除应有充分的合法性理由外,还应谨慎实施,在当下不应过分夸大其维护争议岛屿主权和海域权属的作用,但因其契合中国一贯的外交主张和国防政策,中国可以主导和构建公正、合法、有效的区域海上拦截机制。
The first modern maritime interdiction operation which played a great role in promoting the development of international law was carried out by the allied army led by US in 1990 during the time of the Gulf War. Since the world entered a new century, the global maritime security situation has become worse and worse. The maritime interdiction operation mechanism constructed by some European and American countries which is characterized by flexibility, high efficiency, standardization, and high speed has gradually become a response mechanism to maritime security threat and a cornerstone in executing maritime security strategy. Modern maritime interdiction operation mainly refers to the action carried out by the warship or legally-empowered official service ship to interdict some material goods or persons from or into some specified states or regions. Essentially, it is a mechanism to control the intensification of tense situation and escalation of armed confrontation, which, by resorting to the low-intensity use of force at sea, is applicable both in time of peace and in time of war or armed conflicts. It has an intimate relationship with maritime blockade,maritime capture, hot pursuit, maritime neutrality and maritime quarantine, and the like. Maritime interception functions as a limitation on maritime freedom, and its application should be implemented with great prudence apart from its full legality. At the moment, its role in maintaining the present maritime disputes in island territory and jurisdictional water should not be exaggerated. But as it has been in line with our China's coherent foreign assertion and national defense policy, China can play the leading role in constructing a just, legal and efficient regional maritime interception mechanism.
The first modern maritime interdiction operation which played a great role in promoting the development of international law was carried out by the allied army led by US in 1990 during the time of the Gulf War. Since the world entered a new century, the global maritime security situation has become worse and worse. The maritime interdiction operation mechanism constructed by some European and American countries which is characterized by flexibility, high efficiency, standardization, and high speed has gradually become a response mechanism to maritime security threat and a cornerstone in executing maritime security strategy. Modern maritime interdiction operation mainly refers to the action carried out by the warship or legally-empowered official service ship to interdict some material goods or persons from or into some specified states or regions. Essentially, it is a mechanism to control the intensification of tense situation and escalation of armed confrontation, which, by resorting to the low-intensity use of force at sea, is applicable both in time of peace and in time of war or armed conflicts. It has an intimate relationship with maritime blockade,maritime capture, hot pursuit, maritime neutrality and maritime quarantine, and the like. Maritime interception functions as a limitation on maritime freedom, and its application should be implemented with great prudence apart from its full legality. At the moment, its role in maintaining the present maritime disputes in island territory and jurisdictional water should not be exaggerated. But as it has been in line with our China's coherent foreign assertion and national defense policy, China can play the leading role in constructing a just, legal and efficient regional maritime interception mechanism.
引文
[1]NOUSIASG.Maritimesituationalawareness&maritime interdictionoperationsasstrategiccriticalenablerssupporting the alliance maritime strategy in an era of austerity[J]. Maritime Interdiction Operations Journal, 2012(5):43-56.
[2]西部网.中国海军首次参加海上多国演习,将学习北约标准[EB/OL].(2017-03-08)[2017-11-20].http://news.cnwest.com/content/2007-03/08/content_448188.htm.
[3]新浪网.中国海军成建制出动舰艇直升机演练海上反恐[EB/OL].(2017-12-16)[2018-12-17].http://mil.news.sina.com.cn/2008-12-17/1439535248. html?eol3d.
[4]网易新闻.中国海军第十三批护航编队完成远海临检拿捕操演[EB/OL].(2017-08-15)[2018-02-20].http://news.163.com/13/0225/10/8OI65O1100014 JB5.html.
[5]SERGEIG.Theseapowerofthestate[M].London:Pergamon Press, 1979.
[6]JAMESFMcNulty.U.S.navalwarcollegeinternationallaw studies[M]. Newport:Naval War College Press, 1980.
[7]詹宁斯.奥本海国际法:上卷第二分册[M].王铁崖,译.北京:中国大百科全书出版社, 1998.
[8]ZEIGLERR.Chartingthecourseofmaritimeinterception operations[J]. Naval Law Review, 1996(1):14-18.
[9]JESSUP P. The changing structure of international law[M]. New York:Columbia University Press,1954.
[10]VONHEINEGGWH.Currentlegalissuesinmaritime operations:Maritime interception operations in the global war on terrorism,exclusionzones,hospitalshipsandmaritime neutrality[J]. International Law Studies, 2006(80):208-220.
[11]联合国网站.1965年第217号决议[EB/OL].(2017-11-02)[2018-06-12].http://www.un.org/zh/documents/view_doc.asp?symbol=S/RES/217(1965).
[12]BOORDA ADM J M. Loyal partner:NATO's forces in support oftheUnitedNations[J].NATO'SSixteenNations,1994(8):12-19.
[13]MARTINI.Haiti:Mangledmultilateralism[J].ForeignPolicy,1994(1):69-79.
[14]GILT,FLECKD.Thehandbookoftheinternationallawof militaryoperations[M].NewYork:OxfordUniversityPress,2010.
[15]FRANCONA J L. Visit, search, and serzure on the high seas[J].The American Journal of International Law, 1939(3):22-36.
[16]COLOMBOS C J. The international law of the sea[M]. London:Longmans, Green&Co., 1967.
[17]ROBERTE.Morabitoa.Maritimeinterdiction:Evolutionofa strategy[J]. Ocean Development&International Law, 1991(22):301-311.
[18]ALEXANDERH.Mediterraneanmigrantboattragedy:Death toll could rise to 950[EB/OL].(2015-04-19)[2018-05-07]. http://www.telegraph.co.uk/news/worldnews/europe/italy/11548797/Mediterranean-migrant-boat-tragedy-Death-toll-could-rise-to-950.html.
[19]UNHCR.LetterofthehighcommissionerforrefugeestoThe CzechRepublicEuropeanUnionPresidency[EB/OL].(2009-05-28)[2018-05-17].http://www.refworld.org/docid/4ae9accd0.html.
[20]新华网.习近平:进一步关心海洋认识海洋经略海洋,推动海洋强国建设不断取得新成就——习近平在中共中央政治局第八次集体学习时发表重要讲话[EB/OL].(2013-07-30)[2016-08-25].http://www.xinhuanet.com/politics/2013-07/31/c_116762285.htm.
(1)See Helmut Peels,1975,A History of War at Sea,pp.13-14.
(2)陈东亚.《国际法原论(上册)》,著者自版,1957年:289-290页。
(3)参见《美国海军指挥官手册》4.4.8.
(4)See Interdiction Agreement Between the United States of America and Haiti,Sept.23, 1981,U.S.T.3559.
(5)CJC SI3121.01A,2000,January.
(6)See The Department of Navy, 2008, Development of navy,Maritime Interception Operations(MIO)Manual, NTTP3-07.11M.
(7)See The Naval Service, 2010, Naval Warfare, Naval Doctrine Publication 1,p.37.
(8)NATO MC362.
(9)NATO,20054,Allied Tactical Publication(ATP)-71,0102.
(10)See Anglo-American Claims commission, award, the Jessie, the Thomas f.bayard and the pescawba, nielsen's report(1926), 479et seq.
11 See US Supreme Court Case:Lauritzen v Larsen and the muscat Dhows.345 U.S.571;73 S.Ct.921;97 L.Ed.1254.
12 See U.K. Minister Of Defense, February 2003, Handbook On The Law Of Maritime Operations,BR3012§4-15.
13 Le Louis,2 Dodson 210,245(1858).
14 《联合国海洋法公约》第110条。
15 See Thom Shanker, Threats and Responses:Arms Smuggling,N.Y.Times.Dec.11,2002.
16 See U.S.Department of Defense April 1992, Conduct of the Persian Gulf War,Final Report to Congress.
17 See MSC/Circ.896/Rev.1 on Interim measures for combating unsafe practices associated with the trafficking or transport of immigrants by sea.
18 1951年联合国《关于难民地位的公约》第33条:禁止驱逐出境或送回(“推回”)任何缔约国不得以任何方式将难民驱逐或送回(“推回”)至其生命或自由因为他的种族、宗教、国籍、参加某一社会团体或具有某种政治见解而受威胁的领土边界。(二)但如有正当理由认为难民足以危害所在国的安全,或者难民已被确定判决认为犯过特别严重罪行从而构成对该国社会的危险,则该难民不得要求本条规定的利益。
19 See Resolution MSC.167(78),Guidelines on the Treatment of Persons Rescued At Sea,20 May 2004.
20 See Judgment of the International Court of Justice in Case Concerning Armed Activities on the Territory of the Congo(DRC v. Uganda),(2005)ICJ Gen. List No.116, 19 December 2005,para.180.
21 See UN Human Rights Committee(HRC),General comment no.31[80],The nature of the general legal obligation imposed on States Parties to the Covenant,26 May 2004,CCPR/C/21/Rev.1/Add.13,para.10.
[2]西部网.中国海军首次参加海上多国演习,将学习北约标准[EB/OL].(2017-03-08)[2017-11-20].http://news.cnwest.com/content/2007-03/08/content_448188.htm.
[3]新浪网.中国海军成建制出动舰艇直升机演练海上反恐[EB/OL].(2017-12-16)[2018-12-17].http://mil.news.sina.com.cn/2008-12-17/1439535248. html?eol3d.
[4]网易新闻.中国海军第十三批护航编队完成远海临检拿捕操演[EB/OL].(2017-08-15)[2018-02-20].http://news.163.com/13/0225/10/8OI65O1100014 JB5.html.
[5]SERGEIG.Theseapowerofthestate[M].London:Pergamon Press, 1979.
[6]JAMESFMcNulty.U.S.navalwarcollegeinternationallaw studies[M]. Newport:Naval War College Press, 1980.
[7]詹宁斯.奥本海国际法:上卷第二分册[M].王铁崖,译.北京:中国大百科全书出版社, 1998.
[8]ZEIGLERR.Chartingthecourseofmaritimeinterception operations[J]. Naval Law Review, 1996(1):14-18.
[9]JESSUP P. The changing structure of international law[M]. New York:Columbia University Press,1954.
[10]VONHEINEGGWH.Currentlegalissuesinmaritime operations:Maritime interception operations in the global war on terrorism,exclusionzones,hospitalshipsandmaritime neutrality[J]. International Law Studies, 2006(80):208-220.
[11]联合国网站.1965年第217号决议[EB/OL].(2017-11-02)[2018-06-12].http://www.un.org/zh/documents/view_doc.asp?symbol=S/RES/217(1965).
[12]BOORDA ADM J M. Loyal partner:NATO's forces in support oftheUnitedNations[J].NATO'SSixteenNations,1994(8):12-19.
[13]MARTINI.Haiti:Mangledmultilateralism[J].ForeignPolicy,1994(1):69-79.
[14]GILT,FLECKD.Thehandbookoftheinternationallawof militaryoperations[M].NewYork:OxfordUniversityPress,2010.
[15]FRANCONA J L. Visit, search, and serzure on the high seas[J].The American Journal of International Law, 1939(3):22-36.
[16]COLOMBOS C J. The international law of the sea[M]. London:Longmans, Green&Co., 1967.
[17]ROBERTE.Morabitoa.Maritimeinterdiction:Evolutionofa strategy[J]. Ocean Development&International Law, 1991(22):301-311.
[18]ALEXANDERH.Mediterraneanmigrantboattragedy:Death toll could rise to 950[EB/OL].(2015-04-19)[2018-05-07]. http://www.telegraph.co.uk/news/worldnews/europe/italy/11548797/Mediterranean-migrant-boat-tragedy-Death-toll-could-rise-to-950.html.
[19]UNHCR.LetterofthehighcommissionerforrefugeestoThe CzechRepublicEuropeanUnionPresidency[EB/OL].(2009-05-28)[2018-05-17].http://www.refworld.org/docid/4ae9accd0.html.
[20]新华网.习近平:进一步关心海洋认识海洋经略海洋,推动海洋强国建设不断取得新成就——习近平在中共中央政治局第八次集体学习时发表重要讲话[EB/OL].(2013-07-30)[2016-08-25].http://www.xinhuanet.com/politics/2013-07/31/c_116762285.htm.
(1)See Helmut Peels,1975,A History of War at Sea,pp.13-14.
(2)陈东亚.《国际法原论(上册)》,著者自版,1957年:289-290页。
(3)参见《美国海军指挥官手册》4.4.8.
(4)See Interdiction Agreement Between the United States of America and Haiti,Sept.23, 1981,U.S.T.3559.
(5)CJC SI3121.01A,2000,January.
(6)See The Department of Navy, 2008, Development of navy,Maritime Interception Operations(MIO)Manual, NTTP3-07.11M.
(7)See The Naval Service, 2010, Naval Warfare, Naval Doctrine Publication 1,p.37.
(8)NATO MC362.
(9)NATO,20054,Allied Tactical Publication(ATP)-71,0102.
(10)See Anglo-American Claims commission, award, the Jessie, the Thomas f.bayard and the pescawba, nielsen's report(1926), 479et seq.
11 See US Supreme Court Case:Lauritzen v Larsen and the muscat Dhows.345 U.S.571;73 S.Ct.921;97 L.Ed.1254.
12 See U.K. Minister Of Defense, February 2003, Handbook On The Law Of Maritime Operations,BR3012§4-15.
13 Le Louis,2 Dodson 210,245(1858).
14 《联合国海洋法公约》第110条。
15 See Thom Shanker, Threats and Responses:Arms Smuggling,N.Y.Times.Dec.11,2002.
16 See U.S.Department of Defense April 1992, Conduct of the Persian Gulf War,Final Report to Congress.
17 See MSC/Circ.896/Rev.1 on Interim measures for combating unsafe practices associated with the trafficking or transport of immigrants by sea.
18 1951年联合国《关于难民地位的公约》第33条:禁止驱逐出境或送回(“推回”)任何缔约国不得以任何方式将难民驱逐或送回(“推回”)至其生命或自由因为他的种族、宗教、国籍、参加某一社会团体或具有某种政治见解而受威胁的领土边界。(二)但如有正当理由认为难民足以危害所在国的安全,或者难民已被确定判决认为犯过特别严重罪行从而构成对该国社会的危险,则该难民不得要求本条规定的利益。
19 See Resolution MSC.167(78),Guidelines on the Treatment of Persons Rescued At Sea,20 May 2004.
20 See Judgment of the International Court of Justice in Case Concerning Armed Activities on the Territory of the Congo(DRC v. Uganda),(2005)ICJ Gen. List No.116, 19 December 2005,para.180.
21 See UN Human Rights Committee(HRC),General comment no.31[80],The nature of the general legal obligation imposed on States Parties to the Covenant,26 May 2004,CCPR/C/21/Rev.1/Add.13,para.10.