湄公河流域水资源国际合作法律机制研究

发布时间：2018-01-22 16:02

本文关键词： 湄公河国际水资源合作法律机制　出处：《昆明理工大学》2014年博士论文　论文类型：学位论文

【摘要】：本文研究视角本文试图从国际河流水资源合作的角度阐释构建湄公河全流域水资源国际合作法律机制的必要性和可能性,以及这一法律机制的基本功能。从国际合作是各参与国利益诉求的博弈行为及过程这一客观现实出发,从博弈论的视角对国际河流水资源的合作过程进行了分析,明确了水资源博弈的主要因子是河流各段在水利水能资源开发与河流水资源可持续利用上的损益,揭示了不同发展阶段国际水资源合作中的博弈特点和规律,在此基础上运用博弈论的基本方法构建了国际水资源合作的博弈模型,进而深入探讨了中国参与湄公河流域水资源国际合作的现状和可能的路径,就如何在博弈分析的指导下参与和构建湄公河流域的水资源国际合作法律机制,规范和推进湄公河的全流域水资源合作,发挥中国在此机制中的积极作用进行了分析,对构建湄公河流域水资源国际合作法律机制的困难进行了分析,对构建设这一机制的前景进行了预判。本文的研究重点：一、对湄公河流域水资源国际合作法律机制现状的分析。 (一)通过对水资源、国际水资源和国际河流水资源进行定义,对湄公河流域水资源的特点进行定义,确定了特点1：湄公河流域水资源的地理性质决定了上下游水资源的客观差异和不同河段水资源利用目标的冲突。特点2：湄公河水资源的整体性决定了河流水资源的可持续发展必须通过全流域的国际合作才能达成,这就在客观上造成了湄公河流域水资源利用的矛盾性及国际合作的可能性和必要性。 (二)在阐明水资源国际合作法律机制原理的基础上,对现有的湄公河流域水资源国际合作法律机制——湄公河委员会进行了分析,对湄公河流域水资源合作的国际法律基础和中国与湄公河委员会的法律合作现状进行分类探讨,对湄公河流域水资源合作的法律机制进行剖析,指出：并非国际法律没有参考,而是上下游国家——尤其是中国同湄公河委员会国家,在水资源国际合作方面存在严重分歧,导致湄公河流域水资源合作难以深入和扩展。由于湄公河上下游之间在流域水资源合作上的利益诉求没有一个可供博弈的平台,无法进行充分的博弈,因而在水资源利用上缺乏共识和妥协。又因国际河流水资源分属不同主权国家的固有特点,导致难以形成有效的、权威的湄公河全流域水资源合作法律机制。二、运用博弈论的方法探讨湄公河流域水资源国际合作法律机制的构建路径通过对国际河流水资源合作特征的分析,确定了国际水资源合作是一种多个决策主体共同参与的非合作博弈,进而运用非合作博弈的理论方法,对中国同下游国家水资源利用的不同阶段进行博弈分析,对中国参与下游水资源合作就将会受到水资源利益损失的传统观念进行了纠偏,证明上下游国家水资源合作在一定条件下将会转化为多方得利的合作博弈,并且随着水资源利用的不断深入,无论上下游国家是否主观上对水资源合作存在抵触,均会为了自身的利益选择参与到水资源国际合作法律机制当中,并且该合作法律机制的主要合作目的必然将从水电开发协调,转移到水资源的可持续发展与环境保护上来。对博弈的结果进行抽象化得到以下结论： (一)在河流水资源合作初期,因为水资源分布的时空不均衡,流域各段水资源利益表现不同,不同主体的博弈选择也会不同,上游国家和下游国家出于各自利益最大化考虑,均不会对构建全流域水资源国际合作的法律机制抱积极态度。上游国家甚至会顾虑到构建全流域水资源合作的法律机制会制约自己的水资源开发行为而抵制这种构建。而下游国家一般会在邀请上游国家参与得到否定答复后采取消极的合作态度,故尔上下游国家很难在河流水资源利用的初期就达成构建全流域水资源国际合作法律机制的共识。 (二)当水资源利用到达一定的水平,特别是当上游国家可开发的水利水电利益已经不足以和参与全流域合作得到的生态利益相对抗时,上游国家才会不可避免地寻求与下游国家进行全面的水资源国际合作。而下游国家在考虑到自身生态和水电利益的条件下也将选择与上游国家进行积极的水资源合作。湄公河上游水资源开发的高峰期已经随着中国段水能水电建设的基本结束而成为过去,但老挝、缅甸由于经济发展相对滞后等原因,尚未达到开发高峰,此时构建湄公河全流域水资源国际合作法律机制还存在很大的利益冲突,但是由于全流域水资源合作对中国已经成为最大最佳的利益组合,在中国积极参与下的全流域国际水资源合作将成为各国的最终选择,而构建湄公河全流域国际水资源合作法律机制的条件也趋于成熟。 (三)水资源利用进入后开发期时,全流域的生态利益合作会成为所有国家共同关注的最大利益,容易形成共同诉求和共识,成为国际合作的基础。由此可知,湄公河流域水资源国际合作的最终目标必定是全流域整体的生态利益,湄公河流域水资源及生态保护的可持续发展将成为支撑各国共同构建法律机制的共同目标。三、从国际河流水资源合作法律机制构建过程所得到的启示 (一)依据国际水资源合作的现状,国际流域水资源合作可分为三类：1.全面有效的国际合作流域。2.已形成全流域合作机制但实施效果不明显的合作流域。3.基本没有流域合作机制的国际流域。 (二)现行国际水资源利用都是基于两个主要原则——公平合理利用原则与无害利用原则。公平合理与利用无害原则的国际实践表明：国际合作法律机制的构建应体现国际水法的基本追求,体现流域各国在利用国际水资源的过程中应承担的国际义务。构建法律合作机制的目的是实现公平和合理利用国际水资源,无害利用国际水资源,预防和解决国际水争端的基本途径。水资源管理的两大主要理论——可持续发展理论和系统理论都明确认为,国际水资源的国际合作是不可避免的客观要求,而全流域的国际水资源合作是达到这一客观要求的唯一渠道。 (三)借鉴多瑙河流域水资源合作的经验,以欧盟水框架指令——国际水资源合作在法律机制层面上的典范为案例,认为： 1、湄公河水资源利益的实际博弈与多瑙河流域水资源合作的发展过程可以相互印证。 2、湄公河流域水资源国际合作应该也只能通过流域各国的国际法律合作而达成； 3、湄公河流域水资源国际合作法律机制应是一个综合的水资源国际执法机制； 4、湄公河流域水资源国际合作法律机制应是一个多重合作机制的复杂体； 5、湄公河流域水资源国际合作法律机制还将面临长期的水资源利益合作挑战。四、对中国参与构建湄公河流域水资源国际合作法律机制的预判与展望通过以上分析,可对中国参与构建湄公河流域水资源国际合作法律机制的前景加以预判和展望——即湄公河流域水资源国际合作法律机制的构建的紧迫性、可能性。具体表现在以下几个方面： (一)中国参与建立湄公河流域水资源国际合作机制具有迫切性 1、湄公河国际河流的水资源的共享性特点要求中国尽快加入到湄公河流域水资源国际合作法律机制当中； 2、在澜沧江流域开发、尤其是主干流开发进入中后期后,中国已大规模的进入湄公河下游国家进行水电开发活动,流域各国在水资源开发上的利益冲突需要有更为完善的平台来实现博弈,需要建立面对水资源主权问题争端的协商解决机制,而湄公河全流域水资源合作法律机制是解决这一类争端的唯一出路； 3、从博弈论的角度分析,中国无论现在支持与否,随着湄公河流域开发的进程,中国与下游国家终将选择共同构建全流域的水资源国际合作法律机制； 4、中国的国家责任和国家利益都要求中国参与到构建湄公河全流域国际合作法律机制当中。 (二)根据湄公河流域自然条件、各国经济发展的不平衡以及水资源国际法律合作的经验,本文认为中国参与构建的湄公河流域国际合作法律机制必将是一个不断调整的法律机制,不可能在初期就能够达成较高的水资源合作水平,是一个不断完善过程。 (三)认为中国在构建湄公河全流域水资源合作时,应当坚持——主权与公平利用原则,可持续发展与统筹协调原则,并对中国构建湄公河流域水资源合作的主要制度进行展望。
[Abstract]:The perspective of this paper
This paper tries to explain the necessity and possibility of cooperation from the perspective of international river water resources construction of the Mekong River Basin water resources of the legal mechanism of international cooperation, the basic function and the legal mechanism. From the international cooperation is the objective reality of game behavior and process of each participating country interests of cooperation from the perspective of game theory the international river water resources are analyzed, the main factors of water resources in each game is the river water resources development and sustainable utilization of water resources on the river water loss, reveals the game characteristics and rules of international water resources cooperation in different stages of development, based on the basic method of game theory to construct a game the model of international water resources cooperation, and further discusses the China participation status of international cooperation in the Mekong River Basin water resources and the possible paths to Participate in the construction of the Mekong River Basin and the game analysis of water resources under the guidance of the legal mechanism of international cooperation, regulate and promote the Mekong River Basin water resources cooperation, analyzes the Chinese play a positive role in this mechanism, the construction of the Mekong River Basin water resources international cooperation mechanism analyzes the difficulty of construction. This mechanism for the future anticipation. The focus of this paper:
First, an analysis of the current status of the legal mechanism of international cooperation in water resources in the Mekong River Basin.
(a) based on the definition of international water resources, water resources and international river water resources, defines the features of water resources in the Mekong River Basin, determine the characteristics of the 1: the geographical nature of water resources in the Mekong River Basin determines the objective difference of upstream and downstream water resources and water resources utilization in different sections of target characteristics of the 2 conflicts. The whole of Mekong River water resources determines the sustainable development of water resources of the river must be reached through international cooperation to the whole basin, which is the objective cause of Mekong River Basin water resources contradiction and international cooperation the possibility and necessity.
(two) based on expounding the principle of water resources legal mechanism of international cooperation, the analysis on water resources in the Mekong River Basin existing legal mechanism of international cooperation in Mekong River Commission, the classification of the legal basis of international water resources cooperation in Mekong River Basin and Chinese and Mekong Committee legal cooperation on legal status the mechanism of water resources cooperation in Mekong River Basin were analyzed, pointed out that international law is not a reference, but the downstream countries -- especially Chinese with MRC countries, international cooperation in water resources in serious differences, resulting in the Mekong River Basin water resources cooperation is difficult to in-depth and expanded. As in the basin water resources on cooperation the demands of interests between the Mekong River downstream without an available game platform, to the full game, and the lack of consensus and compromise on the use of water resources As a result of the inherent characteristics of international rivers and water resources belonging to different sovereign states, it is difficult to form effective and authoritative legal mechanism for water resources cooperation in the Mekong River Basin.
Two, using the method of game theory to discuss the construction path of the legal mechanism of water resources international cooperation in the Mekong River Basin
Through the analysis of cooperation on international river water resources characteristics, determine the international water resources cooperation is a non cooperative game of multiple subjects to participate in decision-making, and then use the theory of non cooperative game theory, analyzes the different stages of the use of water resources Chinese with downstream countries, the Chinese will participate in the downstream water resources cooperation by the traditional concept of water resources benefit loss of correction, cooperation of water resources in downstream countries will prove that under certain conditions, into a multi benefit cooperation game, and with the use of water resources is unceasingly thorough, regardless of whether the downstream countries on water resources cooperation on the subjective existence of conflict, both in their own interests to choose to participate in the the water resources of the legal mechanism of international cooperation, and cooperation in the legal cooperation mechanism must aim from hydropower development coordination, transfer to water resources Sustainable development and environmental protection. The results of the game are abstracted to get the following conclusions:
(a) initial cooperation in river water resources, because the temporal and spatial distribution of water resources is not balanced, each basin water resources benefit of different performance, different game's choice will be different, the countries upstream and downstream countries for their own benefit maximization, will hold a positive attitude towards the legal mechanism of international cooperation to build the entire basin water resources the upstream countries. Even concerns about the construction of legal system for water resources cooperation of the whole watershed will restrict the development of water resources and the construction of their own behavior. But resist downstream countries will generally take the negative attitude of cooperation in the upstream countries to participate in the invitation to get a negative answer, so it's difficult to downstream countries in the early days of river water resources utilization a construction of river basin water resources legal mechanism of international cooperation agreement.
(two) when the water resource utilization reached a certain level, especially when the upstream countries can develop hydropower interests and ecological interests is not enough to get involved in the whole basin cooperation relative resistance, the upstream countries will inevitably seek to make the water resources comprehensive international cooperation with downstream countries. And in consideration of its own downstream countries the ecological conditions and hydropower interests will also have the option of water resources cooperation actively with the upstream countries. The Mekong River water resources development has peak with the end section of the China hydropower construction to become the past, but because of the economic development in Laos, Burma is lagging behind, has not yet reached the peak of the development, construction of the Mekong River water the whole basin resources legal mechanism of international cooperation also has enormous conflict of interest, but because the whole basin water resources cooperation of China has become the largest and the best The international water resources cooperation under the active participation of China will become the final choice of all countries, and the conditions for establishing the legal system of international water resources cooperation in the Mekong River Basin are also ripe.
(three) after entering the period of development and utilization of water resources, the ecological interests of the whole basin will be the best interests of all countries concerned, easy to form the common aspirations and consensus, become the basis for international cooperation. Therefore, the ultimate goal of international cooperation in the Mekong River Basin water resources must be full of ecological benefits of the whole river basin, sustainable the development of the Mekong River Basin water resources and ecological protection will become the common goal of common law system construction of supporting countries.
Three, the Enlightenment from the process of establishing the legal mechanism of international river water resources cooperation
(1) according to the current situation of international water resources cooperation, international river basin water resources cooperation can be divided into three categories: 1., a comprehensive and effective international cooperation. Watershed.2. has formed a whole basin cooperation mechanism. However, there is no.3. basin with international cooperation.
(two) the current utilization of international water resources are two main principles: the use of fair and reasonable principle and harmless utilization based on the principle of fair and reasonable utilization and harmless. Show the principle of international practice: the construction of legal mechanism of international cooperation should reflect the basic pursuit of international water law, reflect the basin countries should take in the process of international water utilization in the international obligations the construction of legal cooperation mechanism. The aim is to achieve a fair and reasonable utilization of international water resources, harmless utilization of international water resources, the basic way of preventing and resolving international water disputes.
The two major theories of water resources management, sustainable development theory and system theory, clearly believe that international cooperation in international water resources is inevitable and objective, and the international water resources cooperation in the whole basin is the only way to achieve this objective requirement.
(three) learn from the experience of water resources cooperation in the The Danube basin, taking the example of the EU Water Framework Directive, the international water resources cooperation at the level of legal mechanism, as a case study.
1, the actual game of the benefit of the Mekong River water resources and the development process of the water resources cooperation in the The Danube basin can be confirmed by each other.
2, the international cooperation in water resources in the Mekong River Basin should be achieved only through international legal cooperation among the countries of the river basin.
3, the legal mechanism of international cooperation on water resources in the Mekong River Basin should be a comprehensive international law enforcement mechanism for water resources;
4, the legal mechanism of international cooperation on water resources in the Mekong River Basin should be a complex of multiple cooperation mechanisms.
5, the legal mechanism of international cooperation on water resources in the Mekong River Basin will also face the challenge of long-term cooperation in water resources interests.
Four, the prejudgement and Prospect of China's participation in the legal mechanism of international cooperation in the construction of water resources in the Mekong River Basin
Through the above analysis, we can predict and predict the future of China's participation in the legal mechanism of the international cooperation of Mekong River water resources, namely, the urgency and possibility of building the legal mechanism of the international cooperation of the Mekong River water resources.
(1) it is urgent for China to participate in the establishment of a mechanism for international cooperation in water resources in the Mekong River Basin
1, the sharing characteristics of the water resources of the Mekong River international river require China to join the legal mechanism of international cooperation on water resources in the Mekong River Basin as soon as possible.
2, the development in the Lancang River Basin, especially the main stream in the middle and late stage of development, has entered the national large-scale China lower Mekong hydropower development activities, in the conflicts of interests in the development of water resources requires a more perfect platform to achieve the game, need to establish water resources face the dispute solve the problem of sovereignty the mechanism, and the legal mechanism of the Mekong River Basin water resources cooperation is the only way to solve this kind of dispute;
3, from the perspective of game theory, whether China supports or not, with the development of Mekong River Basin, China and downstream countries will eventually choose to jointly build the legal mechanism of international cooperation in water resources in the whole basin.
4, China's national and national interests all require China to participate in the establishment of a legal mechanism for the international cooperation of the Mekong River Basin.
(two) according to the natural conditions of the Mekong River Basin, the imbalance of economic development and water resources in the international legal cooperation experience, the China in the Mekong River Basin Construction of legal mechanism of international cooperation will be a continuous adjustment of the legal system, the level of water resources cooperation impossible can reach a higher in the early stage, is a a continuous improvement process.
(three) it is believed that China should adhere to the principles of sovereignty and fair use, and coordinate the principles of sustainable development and overall coordination in building the cooperation of water resources in the Mekong River Basin.

【学位授予单位】：昆明理工大学
【学位级别】：博士
【学位授予年份】：2014
【分类号】：D993.3;D996.9

【参考文献】