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1、上海海事大学硕士学位论文 索马里海盗问题的国际法分析摘 要 在世界经济逐渐复苏的今天，海运作为承担世界货运量80%的运输方式，经济对其的依赖性早已不言而喻。随着近年来海盗活动越发猖獗，世界对海上运输安全性的考虑也与日俱增。海盗犯罪不断危及国际海运安全和全人类的共同利益，已成为国际社会高度关注的，影响和破坏国际航运秩序的首要问题。而2010年5月12日，一艘巴拿马型散货船“ELENIP”在距离索马里海岸以东约600海里处被劫持，又将海盗问题推上了风口浪尖。本文主要以索马里海盗问题作为切入点，从国际法的角度上，通过对海盗罪的犯罪构成要件以及海盗罪管辖权机制的阐述，着重分析了打击海盗行为的法律依据，
2、以及世界各国国内法的规定对中国国内法海盗罪的立法借鉴。但现有国际公约对于海盗罪普遍管辖权的规定却存在诸多局限性，因此，作者又进一步阐述建立国际合作平台和加强区域合作的必要性，以及通过加强国际组织的作用，达到“和谐海洋”的海上安全新局面。文章首先从海盗问题着手，从国际习惯法对海盗的定义，谈到现代海盗罪的概念和特征，继而阐述了海盗罪犯罪构成要件，并通过对联合国海洋法公约的分析，突出了“海盗罪是现代普遍性管辖权的基础”。接着分析海盗罪的管辖权机制问题，沿岸领海国的优先管辖权、海盗罪普遍管辖权机制的建立依据和局限性以及国际公约和国际法庭对普遍管辖的适用。对海盗罪普遍管辖权机制的局限性展开分析，从海盗罪
3、的目的要件，行为方式要件等方面进行探讨，并分析了其狭隘性产生的原因。文章紧接着引出打击海盗罪的责任主体，由世界各国海盗罪的立法情况谈到我国国内刑法的相关规定，对中国国内法海盗罪提出了相应的立法借鉴。作者再谈到了国际以及国内立法及实际行动方面的对打击海盗问题的局限性，由表及里的从国际法角度分析了打击海盗的法律权限。并基于以上法律制度以及实际局限性的阐述，提出了有效打击海盗的变革措施。着重提出了从海盗罪定义范围的扩大，护航机制，区域性合作以及安理会的协调等有效措施。希望借此找到解决索马里问题的途径，达到和平海洋的愿望。关键词：海盗罪，普遍管辖权，国际公约，区域性合作，国际组织ABSTRACTWit
4、h the recovering of the world economy, marine transportation which covers 80% of the trading quantity, the importance to the world economy is obvious. The rampant piracy activities at sea attract more and more consideration to the safety of marine transportation. Piracy that endangers not only marin
5、e transportation but mutual interests of the world has been given great attention and defined as a serious crime by worldwide. On the 12th of May 2010, a panamax bulk carrier named ELENIP was hijacked by Somali pirates to a distance of 600 miles from the east coast of Somali. This startling news onc
6、e again put piracy to the subject of public opinion. This thesis cites the Somali piracy problem, through the angle of international law, illustrates the constitution and jurisdiction to piracy crimes, highlights the legal basis of attack the piracy, also analyses internal laws regarding piracy crim
7、es from other countries which accordingly could be brought in to perfect our lawmaking. Due to some limitations of applying universal jurisdiction to piracy in the international conventions, the writer further proposes the necessarily of building a international co-operation platform and the mechani
8、sm of regional co-operation, and also strengthens the function of international organization so that we could achieve the concept of harmonious sea which adapt to the world trends and the universal aspiration. After talking about the piracy problem first, then illustrating the definition of the pira
9、te through the angle of international law, then the writer explains the concept and the features of piracy crimes at the present time after that elaborates constitutions to piracy crimes. Through the analysis of United Nations Convention on the Law of the Sea the thesis addresses the opinion of pira
10、cy crime is fundamental of modern universal jurisdiction. Writer then stresses the jurisdiction of the piracy crime, the priority jurisdiction of coastal state, the basis and the limitation of the universal jurisdiction to piracy including the application from international conventions and internati
11、onal court. Then the writer talks about the imitation of the universal jurisdiction to piracy crime and approaches from the elements and the patterns of the piracy crimes then analyses the reason resulting to this kind of limitation. Afterwards the thesis analyses liability subjects of attracting pi
12、rates, from the legislation to the piracy crimes of other countries to Chinese stipulation of crime law. Next, the writer illustrates the limitation of international and internal law regarding attracting pirates, and analyses the legal bounds from the outside to the inside. Then the writer suggests
13、the reform measurements to attracting pirates base of the above and emphatically points out some effective ways such as the expansion of conviction range, convey mechanism, regional co-operation and mediation from the Security Council. At last writer hopes could find channels to solve the Somali pir
14、acy problem to reach the aspiration of peaceful.Cao Jingjing (International Law)Directed by Prof. Wang Guohua KEYWORDS: piracy universal jurisdiction, international conventions, regional co-operation, international organization目 录引言1第一章海盗问题概述2第一节海盗罪国际习惯法定义2第二节现代海盗罪的概念和特征3第三节海盗罪犯罪构成要件5第四节联合国海洋公约对海盗罪的
15、规定8第五节本章小结9第二章海盗罪的普遍管辖权机制10第一节沿岸领海国的谨慎注意义务10第二节海盗罪普遍管辖权的建立依据11第三节海盗罪普遍管辖权机制的局限性15一、构成海盗罪目的要件的狭隘性15二、构成海盗罪行为方式要件的狭隘性15三、构成海盗罪地理范围要件的狭隘性15四、对海盗罪行使紧追权的狭隘性16五、防范海盗的护航机制存在空白16第四节国际公约和国际法庭对普遍管辖的适用17一、国际公约：涉及到战争罪、劫机恐怖主义、种族隔离和酷刑17二、国际法庭和国际刑事法院18第五节本章小结19第三章打击海盗罪的法律依据21第一节世界各国海盗罪的立法特点21第二节我国对海盗罪的国内刑法规定22第三节现行国际法对跨境打击海盗的障碍25一、联合国海洋法公约的不足25二、联合国安理会决议的限制26三、国内对打击海盗的立法欠缺27四、部分国家不合作态度27第四节本章小结28第四章解决海盗问题的对策29第一节打击海盗行动的法律权限分析29一、军舰享有无害通过权29二、军舰享有登临权和紧追权30三、军舰享有豁免权30第二节国际法普遍管辖权机制的变革31一、扩大海盗罪的范围32二、建立针对海盗的护航机制32三、设立区域性海盗法院33四、建立以安理会为主导的
