自然延伸概念在200海里外大陆架划界中的作用研究

发布时间：2018-05-24 20:55

本文选题：1982年联合国海洋法公约 + 海洋划界　；参考：《中国地质大学》2013年博士论文

【摘要】：1982年《联合国海洋法公约》(以下简称《公约》)为解决有关海洋空间使用的问题建立了一个综合性的框架体系。它不但体现了国际习惯法的编纂,更重要的是体现了新的法律规则与自然科学技术的结合。《公约》包括17个部分,320个条款,9个附件和1个最终法令。本论文主要关注《公约》中与大陆架有关的条款,包括第七十六条至第八十五条、附件二(关于大陆架界限委员会)和最终法令的附件二(包含关于在特殊情况下确立大陆边外缘所使用的具体方法的谅解声明)。其中,在第七十六条第一款中,“自然延伸”这一明确具有地质属性的概念作为海洋划界条款的首要条件被提出,成为了划界条款的核心要素,而如何考量和运用它,怎样处理不同地质背景下自然延伸的法律与自然属性问题,在国际社会上引起了很大争议。因此,本文从“自然延伸”这一概念的法律渊源与演化入手,通过剖析这一概念的形成、建立到被提出,探讨了它所包含的不可缺少的地理与地质要素,通过整理、收集、分类分析已提出的各国海洋划界案建立自然延伸的不同模型,研究在不同地质背景下,自然延伸的不同作用与意义;进一步充分论证了自然延伸不仅具有双重属性(法律属性与地质属性),同时在海洋权益与海洋划界两个方面都不可忽视。本论文主要取得了以下研究进展与认识成果： 1.论证了自然延伸的法律演化背景为划界过程中地质要素的探讨提供了合理依据。自然延伸是海洋法演化史中一个关键概念。通过了解与探究它在海洋法中形成、演化与修订过程,可以充分论证,在处理海洋划界与边界争端事务过程中,这一概念不能被忽略或回避。在海洋法的法制史中,包括三个重要阶段： (1)在1969年北海大陆架划界案以前,所有有关大陆架权利的主张(包括1945年杜鲁门宣言)旨在扩张沿海国家海洋管辖权,并论证海洋领域的相关争议需要一个新的制度—即大陆架制度。进而,1950年国际法委员会第69次会议明确建立了这一制度。1958年《大陆架公约》为这一阶段画上了完美句号,它通过水深条款与当时技术可达到的开发性条款规定赋予了法律框架下大陆架一个崭新概念。 (2)1969年北海大陆架划界案标志着第二阶段的开始。针对这一系列的划界案,国际法院明确提出了一条重要的参考意见,即：对于海洋边界划定,等距离原则并不是唯一的基本要素。事实上,如果仅依靠这一准则解决划界争端,往往会出现不公平的结果。因此,为了寻求公平的解决方案,根据1958年《大陆架公约》,越来越多的沿海国家开始在“特殊背景”这一概念上寻找突破口。在这一阶段,何种地质背景属于特殊背景,又应在大陆架划界过程中做如何考量等问题并没规范化,因此,它仅是“自然延伸”这一概念的萌芽。 (3)在1969年-1985年间的海洋划界案例开启了第三阶段的发展。各沿海国不约而同的将注意力集中在大陆架的各种地质要素上,比如各种脊与海底高地的延伸形态,海沟的深度与规模大小对陆架延伸的影响程度等。在《公约》中,“自然延伸”作为关键性要素在第七十六条第一款中被明确提出。相较于1958年《大陆架公约》,《公约》不仅直接提出了“自然延伸”这一概念,并将其用作定义法律意义大陆架的关键性要素(article76.1-2).在海洋法框架下的大陆架是可以根据距海岸线的距离分为两个部分： (1)第一部分为从领海基线起算向海延伸200海里的海底区域。《公约》赋予沿海国对这一领域拥有陆架管辖权,即这一区域的陆架管辖权与各种地质要素无关。因此,在这一区域,即从领海起算向海188海里的区域,自然延伸概念对赋予沿海国陆架权利没有任何影响。但由于这一区域的上覆水域属于沿海国的专属经济区,因此,实际上这一区域重叠覆盖了两种不同的制度：专属经济区制度(《公约》第五章)与大陆架制度(《公约》第六章)。对于已有的典型划界案例分析,本文充分证明在这一重叠区域划定海域边界时,国际法庭对专属经济区制度赋予了更多权利,而弱化了大陆架制度与地质特征对海域边界的影响。而实际上,根据《公约》规定,这两种制度应具有同等地位与权利。 (2)第二部分为外大陆架部分,即从200海里线起算,根据海床和底土的地质特征、向海自然延伸的区域。正因为这一法则,用于定义法律大陆架的自然延伸概念将法则与地球科学紧密的结合在一起。根据《公约》第六部分,法律大陆架概念包含诸多地质要素,并且对于200海里外的大陆架区域,沿海国权利的赋予必须以“自然延伸”为首要条件。除了确定“自然延伸”概念与陆架权利的关系外,本文前三章还在《公约》的基础上,提出三种基本模型用以阐述自然延伸与不同地质背景下相邻沿海国的边界划定的关系。 2.从科学属性方面探讨并论证了自然延伸概念是《公约》第76条中前六条基本法则的核心与首要条件。目前对于“自然延伸”出现在《公约》第76条第一款中的意义,其中一种多为西方学者支持的观点：它仅为一种法律名词指代,而不具有任何地质地貌要素。本文通过对第76条1-6款法则的定义与《大陆架外部界限一科学与法律的交汇》中的科学问题分析,认为：第76条第一款为一原则性条款,是随后五条法则的基石,也是海洋权利与海域划定必须遵循的准则。根据第76条第2-6款,实际将大陆架区域分为两种地质背景：(a)理想的简单地质背景,即由陆架、陆坡至陆基的大陆边的自然延伸(Article76.3);(b)由于复杂的地质演化过程引起的特殊地质背景(Article76.6)。 3.针对自然延伸在海洋权利与海域划界中的不同影响分别进行分析并得出结论。根据划界案例分析,对于自然延伸在海洋权利中的作用,包括：(1)对200海里内区域无影响。这一区域沿海国的陆架权利是固有的；(2)对于200海里外的大陆架区域,自然延伸作为一基本原则,通过限制地质属性从而限定了大陆架外缘界限。通过案例统计分析和国际法庭与大陆架界限委员会提供的参考意见,它不仅包括地形地貌上的延伸,还包括多种其他地质要素。在这一权利确定过程中,海底重要地质特征作为重点参考要素,用以确定延伸的不同属性。对于自然延伸在海域划界中的作用,首先需要确定的是,法律意义上的大陆架,无论是否超过200海里的海域,都是一个完整的、不可分割的。并且,正如之前论述,大陆架制度与专属经济区制度是同等重要的法律条款,因此,在确定海域边界时,尤其是200海里内的重叠区域,专属经济区制度中的参考要素(主要为水域表面的要素,如沿海国海岸线形态与长度、国家主要经济来源特征等)和大陆架制度中提及的参考要素(如地貌与地质属性的延伸性,海沟等天然隔断的存在)应当具有同等参考价值,结合考虑进而对边界临时线做出适当调整。而事实上,在目前的许多划界案中,参考专属经济区制度的比重远远超过了大陆架制度。 4.根据地理和地质要素对自然延伸与邻国海域划界结果的影响,本论文将与脊或脊状物相关的划界案分为四种类型。在已提交的67个沿海国家提交的划界案中,有关洋脊或者海底高地区域的案例已占到总数的一半以上,相关的外大陆架区域主张面积已超过200,000km2。本文按照不同的地质要素对划界结果的影响程度,将这种划界案分成了四种类型： (1)属于大陆边的自然组成,合理的延伸了沿海国的外大陆架,比如澳大利亚和新西兰划界案。比如,在澳大利亚划界案中,尤其是Kerguelen Plateau、Macquarie Ridge上的200海里以外大陆架界限,避开了对洋脊类型的讨论,而是以海岛为中心赋予了更多的外大陆架权利；(2)结合其他制度中的考量要素的洋脊岛屿上的独立划界案,包括渔业、经济要素,比如冰岛划界案和库克群岛划界案,这种结合使得划界主张的提出更加合理;(3)涉及具体地质属性,比如地壳性质的脊类划界案。以毛里求斯和塞舌尔联合划界案为例,两个沿海国通过说明Mascarene海底高原具有大陆地壳性质,进而将其视为大陆架的自然构成部分的海底高地；(4)借以脊的延伸试图从沿海国大陆进行蛙跳划界,旨在侵占邻国的大陆架区域,比如日本划界案中,日本企图忽略小笠原海台与伊豆-小笠原-马里亚纳海脊地质与地貌的间断性和深度达到4000米的海沟,歪曲自然延伸的真实概念而主张更多大陆架区域。关于这类延伸问题,曾在国际法庭关于相邻国家的海域划界判例中提及--650米深度的挪威海槽已被认为是自然延伸的终断要素。因此,如果说对于前三种类型的脊或脊状物对大陆架划界的影响还存在定性与定量的争议空间,那么最后一种类型的划界案则属于明显违背了《公约》第76条首要条款中自然延伸的基本属性,为主张更多海域而违背国际法准则与科学事实。 5.以孟加拉湾区域为主要研究对象,分析了海底扇作为沉积物延伸的一种特殊地形对海洋划界的潜在分析。根据《公约》规定,沉积物的厚度与陆坡坡度的变化是影响大陆架划界的重要要素,而现代海底扇通常能够改变大陆边区域内的这两点特征。因此,作为一个独立的海底地质体,海底扇对海洋划界的潜在影响不可忽视,比如孟加拉扇、印度扇与亚马逊扇。关于《谅解备忘录》是否可以用于其余沿海国主张划界区域还值得探讨,但根据本文对海底扇模型的分析,上扇与中扇的过渡区域对确定陆坡坡脚点具有显著影响。另外,虽然沉积物物源已被国际法庭视为不会影响划界结果的要素,但对于其地质背景演化及构造特征仍存在众多争议,其影响效力未定。 6.根据上述结论,围绕自然延伸核心概念,根据《公约》与存在的各种地质背景,对大陆架划界的程序进行了重新梳理,提出了些许对大陆架界限委员会处理过程的思考。
[Abstract]:In the first paragraph of Article 76 , the concept of " natural extension " has been proposed as the core element of maritime delimitation .

1 . It is proved that the legal evolution background of natural extension provides a reasonable basis for the discussion of geological elements during the demarcation process .

Natural extension is a key concept in the evolution of the law of the sea . Through understanding and exploring its formation , evolution and revision process in the law of the sea , it can be fully demonstrated that this concept cannot be ignored or avoided in dealing with maritime delimitation and boundary dispute matters . In the legal history of the law of the sea , it includes three important stages :

( 1 ) Prior to the submission of the North Sea continental shelf in 1969 , all claims relating to the rights of the continental shelf ( including the Declaration of the Dalumen of 1945 ) were designed to expand the maritime jurisdiction of the coastal States and demonstrate that the relevant disputes in the field of the oceans required a new regime , namely the continental shelf system .

( 2 ) The delimitation of the continental shelf of the North Sea in 1969 marked the beginning of the second phase . For this series of submissions , the International Court of Justice made a clear reference to the fact that the principle of equal distance was not the only basic element for the delimitation of maritime boundaries . In fact , in order to seek a fair solution , more and more coastal States began to look for a breakthrough in the concept of " special background " in order to seek a fair solution .

( 3 ) During the period 1969 - 1985 , the maritime delimitation cases opened the third stage of development . The coastal States focused their attention on the various geological elements of the continental shelf , such as the extension of various ridges and the seabed , the extent of the trench and the degree of influence on the extension of the shelf . In the Convention , the " natural extension " was explicitly set out as a key element in article 76 , paragraph 1 .

In contrast to the Convention on the Limits of the Continental Shelf of 1958 , the Convention does not only directly raise the concept of " natural extension " , and use it as a key element in defining the legal meaning of the continental shelf ( article76.1 -2 ) . The continental shelf under the framework of the law of the sea can be divided into two parts according to the distance from the coastline :

( 1 ) The first part is divided into the seabed area extending 200 nautical miles from the baselines of the territorial sea .

In addition to determining the relationship between the concept of " natural extension " and continental shelf rights , three basic models are proposed to illustrate the relationship between the natural extension and the boundary delimitation of adjacent coastal States in different geological contexts .

2 . The article discusses and proves the concept of natural extension from the aspect of scientific attribute , which is the core and the first condition of the six basic principles of article 76 of the Convention .

According to Article 76 ( 2 - 6 ) , the article points out that Article 76 , paragraph 1 , is a principle clause , which is the cornerstone of the following five principles and is also a criterion for the delimitation of maritime rights and sea areas . According to Article 76 , paragraphs 2 - 6 , the natural extension of the continental shelf ( see 76.3 ) , which is caused by the complex geological evolution , is actually extended ( see 76.3 ) ; and ( b ) the special geological background caused by the complicated geological evolution ( see 76 . 6 ) .

3 . The different impacts of natural extension in the delimitation of maritime rights and maritime areas are analysed and concluded .

According to the case analysis of the delimitation , the role of natural extension in the rights of the sea , including : ( 1 ) has no effect on the area within 200 nautical miles , which is inherent in the continental shelf rights of coastal States ;
( 2 ) For the continental shelf area beyond 200 nautical miles , natural extension serves as a basic principle to limit the margin of the outer edge of the continental shelf by limiting the geological attributes .

4 . According to the impact of geographical and geological elements on the results of the delimitation of the natural extension with neighbouring seas , the paper will be divided into four types , which are related to ridges or ridges .

In the submission of submissions from 67 coastal States , the number of cases relating to ocean ridges or high - altitude areas has accounted for more than half of the total number of submissions , and the associated outer continental shelf area has claimed more than 200,000 km2 . According to the extent of the impact of different geological elements on the results of the submission , the submission is divided into four types :

( 1 ) The natural composition of the continental margin , which reasonably extends the outer continental shelf of the coastal State , such as Australia and New Zealand . For example , in the Australian submission , in particular the limits of the continental shelf beyond 200 nautical miles on the Ridge of Kerguelen , the discussion of the type of ridge is avoided , but more outer continental shelf rights are granted to the island as the centre ;
( 3 ) As an example of the joint submission of Mauritius and Seychelles , two coastal States consider the Mascarene seabed plateau to have continental crust properties , which in turn are considered to be the seabed elevations of the natural components of the continental shelf ;
( 4 ) The extension of the ridge tries to extend the frogging boundary from the mainland of the coastal State to occupy the continental shelf area of the neighbouring countries , such as the Japanese submission , and Japan attempts to ignore the discontinuity and depth of the geological and geomorphologic features and the depth of the ocean ridge between the Haigou and Idou - Marianas , which has been considered to be the ultimate element of natural extension .

5 . Based on the Bay of Bengal as the main research object , this paper analyzes the potential analysis of submarine fan as a special relief to ocean delimitation .

Therefore , as an independent seabed geological body , the potential influence of submarine fan on maritime delimitation cannot be ignored , such as Bengali fan , Indian fan and Amazon fan .

6 . According to the above conclusion , based on the concept of natural extension , the procedure of delimitation of continental shelf is reviewed according to the geological background and geological background , and some suggestions are put forward on the processing of the Commission on the Limits of the Continental Shelf .
【学位授予单位】：中国地质大学
【学位级别】：博士
【学位授予年份】：2013
【分类号】：D993.5

【共引文献】