北极航道治理的法律问题研究

发布时间：2018-02-09 05:02

  本文关键词： 《联合国海洋法公约》 北极航道 治理　出处：《大连海事大学》2016年博士论文　论文类型：学位论文

【摘要】：北极航道的开通,意味着连接东北亚与北美、欧洲的海上航程将大大缩短。中国作为北极的利益攸关方,北极航道的开通对中国有着特殊且重要的意义。但北极航道实现大规模通航,除了受到自然条件的制约外,还受到北极航道的法律地位、环境条件、复杂的地缘政治和特殊的航行技术规范等诸多问题的制约。不同于南极有《南极条约》体系的规范,北极治理面临法律制度碎片化的局面。北极航道治理在法律层面面临的挑战可从以下方面予以归纳：一是西北航道和北方海航道的法律地位问题悬而未决；二是北极航道相关的国际法、区域协定和沿岸国国内法等不同法律规范间存在冲突、有待协调；三是北极航道法律规则的完善和未来的法律秩序构建何去何从。围绕上述问题,笔者对涉及北极航道的硬法和软法做了全面的梳理、分析和研究,结合不同国家的利益关切,对解决问题的可行途径从协商和司法两方面做了探讨,旨在探寻构建公平、合理的北极航道法律秩序的有效途径,为中国以适当角色有效介入北极航道治理、参与北极航道法律秩序的构建提出中肯建议。结合北极形势发展和各国实际利益需求,本文从现有国际法框架和北极治理机制切入,探寻保障北极航道实现公平合理利用的现实可行的路径。除引言和结论外,本文正文由六个章节组成。第一章对当前形势下北极航道治理面临的法律问题做了分析。本章通过对“治理”、“北极治理”等概念的渐进式分析,将“北极航道治理”定义为以北极航道沿岸国和使用国的共同利益为价值导向,通过多元行为体的平等对话、协商和合作,共同探寻解决北极航运这一跨区域问题的规则、机制和方法。这一过程的基础是协调而非控制,体现为持续的互动。北极航道治理面临的法律问题主要是北极航道部分航段的法律地位争议问题以及国际法、区域协定与沿岸国国内法等不同层面法律制度间的冲突与协调问题。第二章对北极航道的法律地位问题做了分析研究。在北极航道治理面临的法律秩序构建中,西北航道和北方海航道的法律地位争议是一个棘手的且在短期内难以解决的问题。笔者认为,从航行角度看,北极航道法律地位争议的核心是西北航道和北方海航道相关海峡的法律地位以及应适用的航行制度问题。本章围绕上述问题做了研析,认为北极航道的法律地位争议涉及的法理问题本身具有一定的模糊性,缺乏具体的判断标准,加之北极航道法律地位争议在一定程度上取于争议主体间的政治关系和利益关切,在短期内难以解决,继而认识到在既有国际海洋法和国际海事组织框架内航行法律规范的基础上,通过不同利益国间的多边磋商,有效协调适用国际法与沿岸国国内法,是突破当前形势下北极航道治理面临的法律困境的重要出路。第三章着重围绕《联合国海洋法公约》在北极航道治理中的适用问题,包括第234条北极例外条款“冰封区域”的解释和适用以及公约中关于航行制度的一般性原则和规定与北极航道沿岸国的国内法冲突做了分析。第四章围绕国际海事组织框架内法律规范,包括一般性法律规范和专门适用于极地的非拘束力的指南或文件以及拘束力规则作了梳理,对国际海事组织框架内法律规范在北极区域协定制定和执行中的作用做了分析。第五章对北极航道治理面临的法律问题解决途径作了探析。本章分析了既有的可资借鉴的共管模式,提出在国际海洋法和国际海事组织相关法律规范框架的基础上,发展和完善适用于北极航道的法律规制；以现有北极治理机制为基础,由北极航道沿岸国和使用国共同磋商达成协议,设立北极航道组织协调机构,明确沿岸国和使用国的权利和义务,由不同利益方共同管理北极航道相关事务。同时,结合国际司法、仲裁机构的最新动态,对北极航道治理相关法律问题提交国际司法、仲裁机构解决的可行性和可能性以及提交国际海洋法法庭发表咨询意见的可能性做了前瞻性研究。第六章对当前形势下中国在北极航道法律规范制定完善和法律秩序构建中的角色做了思考,提出客观定位中国在北极航道的权益,在北极航道治理中担当北极航道合作共赢的推动者、和平利用的倡导者以及环境保护和航行利益的平衡者；建议将北极航道纳入“一带一路”战略；并对中国如何有效介入北极航道治理、在航道法律秩序构建和法律规范制定和完善过程中发挥积极作用提出对策建议。
[Abstract]:The opening of the Arctic waterway, means linking Northeast Asia and North America, the European sea voyage will be greatly shortened. Chinese as the stakeholders, the opening of the Arctic waterway has a special and important meaning to Chinese. But the Arctic route to achieve large-scale navigation, not only restricted by natural conditions, but also by the legal status of the Arctic. The channel conditions, many problems of complex geopolitical and special technical specifications. The voyage is different from the Antarctic Antarctic Treaty System Standard < >, the Arctic governance face legal system fragmentation situation. The north channel governance can be summarized to be from the following aspects in the legal aspects of the challenge: one is legal in suspense the status of the northwest passage and the northern sea route; two is the Arctic waterway related to international law, there are conflicts and regional agreements along the domestic law of different legal norms, Needs to be coordinated; the three is to improve the rule of law and the future of the Arctic legal order construction. Decide on what path to follow around the above problems, the author of hard law and soft law relates to the Arctic waterway to do a comprehensive carding, analysis and research, combined with the different national interests and concerns, to solve the problem of feasible way from two aspects of negotiation and justice the discussion aims to explore effective ways to build a fair and reasonable legal order for the Arctic route, China effectively with appropriate intervention role of the Arctic waterway construction management, put forward to participate in the Arctic legal order of the pertinent recommendations. With the development of the situation and the Arctic countries actually benefit demand, this paper starts from the existing international legal framework and the governance mechanism, explore to achieve fair and reasonable utilization of the Arctic waterway security feasible path. Apart from the introduction and conclusion, this paper consists of six chapters. The first chapter on the current The legal problems of the Arctic waterway governance situation is analyzed. Through this chapter of "governance", "analysis of progressive Arctic governance" concept, the "Arctic governance" is defined as a common interest in the Arctic coastal state and country as the value orientation, through equal dialogue and multiple actors. Consultation and cooperation, jointly explore to solve the problem of cross regional Arctic shipping rules, mechanisms and methods. The base of this process is coordinated and non control, embodies the continuous interaction. Legal issues facing Arctic waterways governance mainly issues the legal status of the Arctic waterways portion and international law, conflict and problems the coordination of regional agreements and domestic laws along the different levels of legal system. The analysis of the legal status of the second chapter of the Arctic passage. In the legal order of governance structure facing the Arctic waterway Built in the northwest passage and the northern sea route of the legal status of the dispute is a tricky and difficult to solve in a short period of time. The author believes that from the perspective of navigation, core of the legal status of the Arctic passage dispute is the legal status of the northwest passage and the northern sea Strait and related navigation system should apply to this problem. The chapter focuses on these problems to do the research and analysis, that the legal problems of the legal status of the Arctic dispute involves itself has a certain ambiguity, lack of specific criteria, and the legal status of the Arctic waterway take on the dispute between the main disputes in a certain extent, political relations and interests and concerns, cannot be solved in a short time, and then realized on the foundation of existing international law of the sea and the international maritime organization within the framework of legal norms on the voyage, through multilateral negotiations between different interests in the effective coordination of applicable international law and along the shore of China Domestic law is an important way for Legal Predicament of Arctic waterway management breakthrough under the current situation. The third chapter focuses on the application of "United Nations Convention on the law of the sea" in the Arctic waterways governance, including the conflict between domestic law general principles and provisions concerning navigation system of interpretation and application of article 234Th the exception clause "frozen zone" and in the Convention and the Arctic coast of the country to do the analysis. The fourth chapter focuses on the international maritime organization within the framework of legal norms, including general legal norms and specifically applicable to polar non binding guidelines or documents and binding rules out of the international maritime organization within the framework of legal norms in the Arctic regional agreement the formulation and implementation of the function is analyzed. The fifth chapter gives an analysis on the legal issues of the Arctic waterway governance solutions. This chapter analyzes the existing reference The co management model, based on the international law of the sea and the international maritime organization, legal framework, legal regulation is applicable to the development and perfection of the Arctic waterway; the existing Arctic governance mechanism as the basis, by the Arctic coastal States and the use of the country to negotiate an agreement, the establishment of the Arctic waterway organization to clarify the rights and the obligation of coastal States and the use of the country, by the different interests of common management of Arctic waterway related affairs. At the same time, combined with the latest developments in the international judicial and arbitral institution, the legal issues related to the Arctic waterway management submitted to international justice, the feasibility and possibility of arbitration and submitted to the International Tribunal for the law of the sea: the possibility of advisory opinions forward study on the current situation. The sixth chapter China in the Arctic waterway laws and regulations on development and constructing perfect legal order in what is the role of thinking,. Objective Chinese positioning interests in the Arctic, the Arctic waterway as win-win cooperation in the Arctic waterway in the governance of promoters, the peaceful use of balance advocates and environmental protection and navigation interests; suggestions will be incorporated into the "Arctic waterway The Belt and Road" strategy; and how to Chinese effective intervention of Arctic waterway in waterway construction of governance, law and order and the legal norms formulated and play a positive role in the process of improving suggestions.

【学位授予单位】：大连海事大学
【学位级别】：博士
【学位授予年份】：2016
【分类号】：D993.5
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本文编号：1497141