目標(biāo)型公約是大勢(shì)所趨？

邱 奇

目標(biāo)型公約是大勢(shì)所趨？

邱 奇

從國(guó)際海事立法的發(fā)展趨勢(shì)看，目標(biāo)型標(biāo)準(zhǔn)（GBS）理念的發(fā)展和成熟，將對(duì)國(guó)際海事公約制訂產(chǎn)生革命性影響，“目標(biāo)導(dǎo)向型”或?qū)⒊蔀槲磥?lái)國(guó)際海事公約的發(fā)展趨勢(shì)。屆時(shí)，世界范圍內(nèi)的各類組織和專家將不局限于具體的實(shí)現(xiàn)標(biāo)準(zhǔn)和方法，只需要在共同的目標(biāo)上達(dá)到一致認(rèn)同，就可避免由于技術(shù)壟斷給實(shí)施公約造成的障礙。國(guó)際海事公約的目標(biāo)型推進(jìn)將給國(guó)際海事公約發(fā)展帶來(lái)一場(chǎng)立法理念上的深刻變革。

引入“目標(biāo)型”理念

20世紀(jì)90年代以來(lái)，國(guó)際海事組織（IMO）和國(guó)際船級(jí)社協(xié)會(huì)（IACS）制定和出臺(tái)了一系列旨在提高船舶結(jié)構(gòu)安全和環(huán)保性能的國(guó)際新公約。過(guò)去的十年里，更是頻頻出臺(tái)了有重大影響的多個(gè)公約。在此過(guò)程中，一些西方發(fā)達(dá)國(guó)家坐收漁利，直接兌換了大量利益；而一些發(fā)展中國(guó)家卻在其中付出了較大的經(jīng)濟(jì)代價(jià)，始終不能擺脫其在技術(shù)領(lǐng)域?qū)Πl(fā)達(dá)國(guó)家的長(zhǎng)期依賴。因此，IMO的部分公約長(zhǎng)期遭受發(fā)展中國(guó)家的質(zhì)疑和詬病，這也成為羈絆其發(fā)展的一個(gè)很棘手的障礙。

2002年11月，IMO MSC(Maritime Safety Committee,海上安全委員會(huì))第78次會(huì)上提出目標(biāo)型標(biāo)準(zhǔn)(Goal Based Standard, GBS)的概念。起初這個(gè)概念用于船舶建造, 但該理念完全可以應(yīng)用于所有國(guó)際海事公約的制訂過(guò)程，由目標(biāo)型標(biāo)準(zhǔn)引出目標(biāo)型公約?！?006年海事勞工公約》中的“實(shí)質(zhì)等效”原則即體現(xiàn)了目標(biāo)型公約的思想。GBS的出現(xiàn)已經(jīng)為國(guó)際海事公約的制定進(jìn)程指明了前進(jìn)方向。

在公約制定過(guò)程中引入目標(biāo)型理念后，公約不再以描述具體的操作標(biāo)準(zhǔn)和要求為出發(fā)點(diǎn)，而是在更高層次上提出公約的總體目標(biāo)和功能要求；操作層面的具體標(biāo)準(zhǔn)由締約國(guó)根據(jù)總體目標(biāo)和功能要求來(lái)制定，通過(guò)這種方法制定的公約就是目標(biāo)型公約（Goal Based Convention）。

目標(biāo)型公約將由三個(gè)層次構(gòu)成?？傮w目標(biāo)層，即規(guī)定公約所要達(dá)到的目標(biāo)；功能層，即規(guī)定達(dá)到公約要求的目標(biāo)所需要的功能及實(shí)現(xiàn)要求；指導(dǎo)層，即具體規(guī)定各締約國(guó)如何實(shí)施問(wèn)題協(xié)調(diào)、跟蹤、驗(yàn)證、報(bào)告、認(rèn)可、評(píng)估等等。在目標(biāo)型公約框架下，各締約國(guó)可以制定具體的達(dá)到公約目標(biāo)的國(guó)家規(guī)范和行業(yè)標(biāo)準(zhǔn)。與描述型公約相比，目標(biāo)型公約著重的是目標(biāo)的實(shí)現(xiàn)，更追求宏觀控制。

殊途同歸

雖然各國(guó)在“航行更安全，海洋更清潔”的追求中目標(biāo)一致，但因?yàn)楦鲊?guó)都有自己具體的不同的實(shí)際情況和要求，所以在具體的操作層面達(dá)成一致也是越來(lái)越難。而目標(biāo)型公約只給各國(guó)提供一個(gè)總體目標(biāo)和功能要求，各國(guó)可以充分發(fā)揮主觀能動(dòng)性和創(chuàng)造性，充分利用各自優(yōu)勢(shì)適應(yīng)公約要求。

長(zhǎng)期以來(lái)，發(fā)展中國(guó)家在技術(shù)領(lǐng)域的被動(dòng)局面有目共睹；同時(shí)，部分國(guó)際公約的標(biāo)準(zhǔn)也大大超出了一些國(guó)家的實(shí)際情況，一些國(guó)際海事公約的實(shí)施并不盡如人意。目標(biāo)型公約將“百家爭(zhēng)鳴、百花爭(zhēng)艷”，在全球形成良性的國(guó)際海事技術(shù)競(jìng)爭(zhēng)機(jī)制，從而徹底解決發(fā)達(dá)國(guó)家長(zhǎng)期技術(shù)壟斷的問(wèn)題。另一方面，目標(biāo)型公約增加了公約的可實(shí)施性。國(guó)際海事公約的目標(biāo)是保障海上船舶和人命安全、保護(hù)海洋環(huán)境。從現(xiàn)行的國(guó)際海事公約看，都是從具體的標(biāo)準(zhǔn)要求層面來(lái)規(guī)定締約國(guó)如何實(shí)施公約達(dá)到這些目的，大大降低了公約的靈活性，甚至可以說(shuō)直接造成公約缺乏普遍可操作性；而目標(biāo)型公約猶如在一場(chǎng)賽跑中只設(shè)定目標(biāo)和要求，至于達(dá)到終點(diǎn)的方式可自由選擇。這就增加了公約的靈活性和可操作性，也就大大增加了其可實(shí)施性。

大勢(shì)所趨

目標(biāo)型公約令未來(lái)的國(guó)際海事發(fā)展藍(lán)圖無(wú)限美好，但在如何合理確定目標(biāo)型公約目標(biāo)和功能、如何驗(yàn)證締約國(guó)是否滿足公約的要求等方面還有很多問(wèn)題。目標(biāo)型公約中最重要的就是目標(biāo)和功能，它是公約制定過(guò)程中的核心工作。由于各國(guó)發(fā)展水平和文明程度的不同，如何合理確定目標(biāo)型公約目標(biāo)和功能將是各國(guó)關(guān)注的焦點(diǎn)。用什么樣的方法去確定、什么樣的目標(biāo)和功能最合理，尚需進(jìn)一步研究和探討。同時(shí)，目標(biāo)型公約只是提出總體目標(biāo)和功能要求，具體的操作由各締約國(guó)以自己的方式去實(shí)現(xiàn)，但是締約國(guó)的做法是否滿足公約要求、以什么樣的方法去驗(yàn)證和評(píng)估，需有詳細(xì)規(guī)定，有待研究和協(xié)商。

中國(guó)是一個(gè)發(fā)展中國(guó)家，在國(guó)際海事履約中始終缺乏主動(dòng)權(quán)。那么，在“目標(biāo)型公約”的制定進(jìn)程中，中國(guó)應(yīng)該積極主動(dòng)地參與到目標(biāo)型公約的制定和推動(dòng)工作中去，發(fā)揮我國(guó)作為國(guó)際海事組織A類理事國(guó)的作用和影響力。那么，我們應(yīng)該怎么做？首先，做好各類高素質(zhì)海事人才的培養(yǎng)和儲(chǔ)備。未來(lái)關(guān)于目標(biāo)型公約的談判將會(huì)異常激烈，海事英語(yǔ)、國(guó)際公約研究、技術(shù)研究和開(kāi)發(fā)、海事管理、船舶運(yùn)營(yíng)管理等優(yōu)秀的海事人才必不可少，筆者建議在國(guó)內(nèi)航海院校內(nèi)設(shè)立國(guó)際海事公約與海事英語(yǔ)專業(yè)培養(yǎng)海事人才；其次，在海事局內(nèi)部成立一個(gè)穩(wěn)定的國(guó)際海事公約和法規(guī)部門，長(zhǎng)期跟蹤和研究海事公約，及時(shí)應(yīng)對(duì)國(guó)際海事公約和技術(shù)發(fā)展的新動(dòng)向。再次，積極加強(qiáng)對(duì)國(guó)際海事技術(shù)發(fā)展的研究。建議由中國(guó)海事局牽頭建立“中國(guó)國(guó)際海事公約數(shù)據(jù)庫(kù)”，結(jié)合船級(jí)社和相關(guān)公約研究中心，對(duì)國(guó)際公約及其修正案進(jìn)行分類整理并及時(shí)更新。該“數(shù)據(jù)庫(kù)”提供國(guó)際海事公約的前沿與發(fā)展趨勢(shì)、國(guó)際海事技術(shù)的發(fā)展動(dòng)態(tài)、最準(zhǔn)確和及時(shí)的公約及其修正案信息以及專業(yè)的評(píng)析等；同時(shí)制定鼓勵(lì)技術(shù)研究和開(kāi)發(fā)的政策和制度，在國(guó)內(nèi)形成一個(gè)良好的國(guó)際海事技術(shù)研究氛圍。

In November 2002, the concept of Goal Based Standard (GBS)was proposed at the 78th IMO MSC meeting. The principle of“essence equivalence” in Maritime Labor Convention 2006 reflects the thought of goal based convention. The emergence of GBS has pointed out the direction for the development of formulation of international maritime conventions.

Goal based convention makes the blueprint for the future international maritime development glorious. However, there are still some problems with regard to how to define the reasonable objective and function for goal based convention, and how to verify compliance with convention requirements by signatory countries. Objectives and functions are the most important for goal based conventions and are the central work in the development of conventions. Due to the difference of development and civilization between various countries, how to set up the reasonable objectives and functions for goal based conventions has become the focus of attention. Further research and study are still needed as to the method to be used to set up objectives and functions, and as to what kind of objectives and functions is the most reasonable.Meanwhile, goal based convention proposes only the general objectives and functional requirements, it is left to the signatory countries to realize them using their own methods. But, research and consultation as well as detailed requirements are needed to decide whether the signatory countries comply with conventions as well as the verif i cation and assessment methods.

China is a developing country and is always lack of initiative in international maritime implementation. China should actively participate in the development and promotion of goal based conventions and exercise the role and influence of China as a Category A member state of IMO council. What should we do then? Firstly, to train and reserve all kinds of maritime talents of high qualif i cations. Secondly, to establish a stable department of international maritime conventions and regulations within the structure of maritime administration to keep track of and study maritime conventions, and to address timely the new trend of international maritime conventions and technical development. Thirdly, to strengthen the study of the development of international maritime technology. It is proposed to set up “China International Maritime Convention Database” with China MSC as the lead to categorize, manage and update international conventions and the amendments together with CCS and convention study centers. This “Database”provides the development trend of international maritime conventions and international maritime technology,the most accurate and updated conventions and their amendments and professional analysis. It also sets up policies and systems to encourage technical study and development to foster a fairly good atmosphere in the nation for international maritime technical research.

Will Goal Based Convention Be the Trend?

By Qiu Qi