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大陆架划界的国际法原则与实践

发布时间:2018-08-28 06:55
【摘要】:大陆架划界对于海洋大国之一的中国而言极具战略价值和研究意义。在中国广阔的海域范围内,黄海、东海、南海等海域均存在需与周边海洋邻国有待解决的大陆架划界问题。本文从大陆架划界的国际法原则这一理论问题入手,试图通过对该原则的历史成因和实践发展的解析,勾勒出大陆架划界原则从形成到当前国际法实践的轨迹,从一系列国际法院和仲裁机构审理的大陆架划界案件中获取划界原则的重要价值,以期对中国当前的海域划界提供些许思路。基于论文结构完整之需,文中虽述及外大陆架法律制度,但并未具体加以展开论述。本文采用类比和演绎归纳的逻辑方法进行研究,客观分析关于大陆架划界的各个案件,揭示大陆架划界各个原则的内涵和相互之间的关系,探讨各个原则对大陆架划界的影响。 本文共分为五章。 第一章从大陆架的地理概念和法律制度的发展入手,借助有关技术数据和图表,重点分析大陆架制度形成的历史背景和发展过程,尤其指出大陆架制度的产生与人类对海洋的认识和开发技术的提高密不可分。从《杜鲁门宣言》的提出,到1958年《大陆架公约》的出台,再到1982年《海洋法公约》的妥协和创新,作者以演绎的方式详细论述大陆架法律制度形成背后的原动力。此外,在大陆架法律制度的论述中,重点阐述大陆架划界原则与划界方法的区别,认为划界原则是指能够且应当只能在法的基础上解决的政治法律问题,而划界方法是指技术性的制图方法和构成手段。具体而言,划界原则对于划界国家而言具有法律的约束力,其能够确定、调整和规范具体的划界方法。而划界方法只能是在划界原则的框架范围内从技术的角度实际解决划界纠纷,其本身不具备任何法律规范的功能,因此也无从谈起划界国家必须遵循的法律约束力。 第二章具体分析大陆架划界的自然延伸原则。通过对自然延伸原则概念和渊源的分析,指出自然延伸是国家对大陆架的主权权利的根据。自上世纪70年代后期出现的大量案件和各国的划界实践发展很大程度上确实减弱了自然延伸原则在大陆架划界活动中的重要性。如在1982年利比亚/突尼斯案中,国际法院认为距离在某些情况下是沿海国的权利基础,其摆脱了自然延伸是唯一的权利基础。国际法院在1985年利比亚/马耳他案中,正式以距离标准代替自然延伸作为200海里范围内大陆架的权利基础,并指出200海里以内的权利主张,只能从沿海国海岸量起的距离来决定,与该划界区域的地质或地貌特征无关。但是,笔者认为自然延伸原则在大陆架划界中的地位虽然受到动摇,但其仍然是大陆架划界中的一个重要原则。自然延伸并没有被200海里距离所替代,两者均为大陆架法律概念中的基本要素。 第三章介绍大陆架划界的等距离原则。文章从等距离的概念和形成入手,结合习惯国际法和国家实践,指出等距离并非习惯国际法原则。笔者认为,尽管等距离划界从方法论而言确实不失为解决大陆架划界问题的一个简单且行之有效方法,也可以通过在一定条件下的处理来实现公平划界结果。但无论大陆架划界最终采取等距离方法还是其他方法,其都是为了恰当地体现每一划界个案中特定条件下的地理和其他特殊情况,完全是公平原则在大陆架划界中的体现,等距离划界不可脱离公平原则的指导,而公平的本质就是首先肯定大陆架自然形成的特征,并确保该等特征和要求在大陆架划界实践活动中得以贯彻。任何无视大陆架地理特征等有关情况而单纯追求数量上平分的划界,都不是真正的公平划界。此外,等距离原则从未在国际法发展过程中真正上升到划界原则,其仅仅是从属于公平原则,并且受到公平原则支配的一种具体的划界规则或方法。尽管实践中等距离/特殊情况原则被频繁适用,但其本身不具有任何法律的强制性,没有任何特殊的法律地位。这与大陆架划界中的公平原则,无论是在地位和效力上都是无法相提并论的。 第四章具体讨论大陆架划界的公平原则。文章从公平的内涵、国际法院对公平原则的认识过程,指出其是大陆架划界的基本原则,贯穿于大陆架划界的全过程,不仅决定了如何甄选具体划界方法,而且还用以确定衡量划界结果的具体标准。公平原则的概念不仅反映在与大陆架划界有关的国际公约中,更体现在诸多沿海国家大陆架划界的实践中,成为国际法的一部分。不能抽象地解释公平原则,必须将其与具体的考量因素即“有关情况”联系起来,必须争取获得一个公平的划界结果。大陆架的划界问题与复杂多样的大陆架特征紧密相连,如相关海岸、地质地貌因素、岛屿和资源平等保护等因素。协议划界是维护大陆架划界公平结果的首要义务;自然延伸原则体现的是天然的公平;等距离原则实质上是确保公平的一种划界方法;而成比例划界是保障大陆架划界公平结果的具体检验手段。 从晚近的国际司法实践可知,国际法院致力于采取某些措施以建立一些明显的一致性和强制性,从而使得法律在某些方面具有确定性。就当前的国际法而言,可以说无论是1958年《大陆架公约》第6条的规定,还是1982年《海洋法公约》第83条的规定,两者存在着相当的独立性,均试图取代一般调整大陆架划界的习惯国际法原则。在案件中争议国家究竟是《大陆架公约》还是《海洋法公约》的缔约国其实并不重要,因为目前出现了可以撇开公约的一般的或者习惯国际法的大陆架划界原则。但从近期国际法院陆续出具的判决分析来看,国际法院逐渐驾轻就熟地“习惯”将等距离线作为海岸相向国家之间的临时分界线,实际上呈现出与《大陆架公约》第6条规定的相类似的效果。因此,公平原则/有关情况和等距离/特殊情况原则在实际运用中日渐趋同,自然延伸原则的地位逐渐被弱化并降格为在公平原则下应考虑的有关情况之因素,而等距离中间线则成为公平原则下一种惯用的实践方法。 随着海域单一划界的国际司法实践的丰富,国际法院日渐倾向于在分析每个案件后先划出临时中间线作为划界的第一步。待中间线划出之后,法院会结合相关情况测试划界的结果是否公平,若是公平的,那么该中间线就予以保留;若该结果并非公平,则法院进行调整直到法院认为公平结果为止。调整的方法可能是中间线朝某一国海岸横向靠近,降低地质构造对划界的效力,或者从一开始就停止中间线的调整。等距离/特殊情况原则是实现公平划界的一种具体方法,但都必须符合公平原则的要求,以达到公平目标和结果。 经过40余年和十几个案件的实践,国际法院和仲裁庭对大陆架划界案件中应适用的法律原则、划界方法和应考虑的有关因素范围的认识已较为稳定,但是在具体案件中究竟需要考虑哪些因素以及该等因素可发挥何等作用仍不明朗。本文结合1969年之后国际法院和仲裁机构审理的一系列大陆架和海域划界案件,逐一分析大陆架划界的协议义务、自然延伸原则、等距离原则和公平原则。文章重点研究大陆架划界原则在国际法实践中的新趋向,总结认为:当前国际法院在对大陆架划界案件的审理过程中对自然延伸原则的态度有所转变,自然延伸原则趋于弱化;等距离/特殊情况原则的国际法理论和实践不断丰富,尤其表现为沿岸国家在双边划界协定中对该原则的适用,以及国际法院和仲裁机构日趋成熟的“两步走”大陆架划界方法对该原则的肯定;公平/有关情况原则仍然是整个大陆架划界的核心,体现于成比例划界方法的运用;等距离/特殊情况和公平/有关情况两大原则呈综合运用趋向;大陆架和专属经济区单一海域划界趋势日益明显。 第五章分别从中国的黄海大陆架划界、东海大陆架划界和南海大陆架划界三个领域研究中国应采取的划界原则。其中,在黄海大陆架与朝鲜、韩国的大陆架划界应侧重主张公平/有关情况原则,备以沿海国海岸比例为抗衡等距离原则的补充。在东海与日本的大陆架划界中,应坚持自然延伸原则和公平/有关情况原则,科学分析冲绳海槽的地貌特征以否定“中日同属一块大陆架”之说,否定等距离/特殊情况在东海大陆架上的适用。在肯定钓鱼岛主权归属中国的前提下,可以尝试在对等的条件下忽视钓鱼岛的大陆架划界效力,以寻求在中日划界谈判中找到突破。但同时积极搜集东海大陆架地质地貌资料,配以海岸比例为补充。在南海大陆架问题上,坚持公平/有关情况原则,集中体现为“九段线”和历史性权利的主张,可摒弃自然延伸原则的主张,灵活地将南海岛屿做分类处理,以适应不同的划界效力。笔者不同意在南海海域“搁置争议、共同开发”的策略,主张积极强化行政管辖和推进资源勘探开发活动,并以军事力量的发展为必要保障。
[Abstract]:The delimitation of the continental shelf is of great strategic value and research significance to China, one of the great oceanic powers. Within China's vast sea area, there are problems of delimitation of the continental shelf that need to be solved with neighboring maritime countries in the Yellow Sea, East China Sea and South China Sea. Through the analysis of the historical causes and practical development of the principle, this paper outlines the track of the principle of delimitation of the continental shelf from its formation to the current practice of international law, and obtains the important value of the principle of delimitation from a series of cases of delimitation of the continental shelf tried by the International Court of Justice and arbitral organs, with a view to providing some ideas for the delimitation of China's current maritime areas. Although the legal system of the outer continental shelf is mentioned in this paper, it is not discussed in detail. This paper adopts the logical method of analogy and deduction to study, objectively analyzes various cases concerning the delimitation of the continental shelf, reveals the connotation and relationship of the principles of the delimitation of the continental shelf, and discusses the magnitude of each principle. The influence of continental delimitation.
This article is divided into five chapters.
Chapter One begins with the development of the geographical concepts and legal systems of the continental shelf, and with the help of relevant technical data and charts, focuses on the analysis of the historical background and development process of the formation of the continental shelf system. It is especially pointed out that the emergence of the continental shelf system is inseparable from the improvement of human understanding of the oceans and the development of technology. From the proposal of the Truman Declaration to the first chapter, the After the promulgation of the Convention on the Continental Shelf in 1958 and the compromise and innovation of the 1982 Convention on the Law of the Sea, the author elaborates in a deductive way the motive force behind the formation of the legal system of the continental shelf. The delimitation method refers to the technical cartographic method and constitutive means. Specifically, the delimitation principle is legally binding for the delimiting state, which can determine, adjust and regulate the specific delimitation method. It is impossible to talk about the legal binding force that a demarcating country must follow in resolving the demarcation disputes from the technical point of view.
Chapter two analyzes the principle of natural extension of continental shelf delimitation in detail. By analyzing the concept and origin of the principle of natural extension, it is pointed out that natural extension is the basis of the sovereign rights of the state over the continental shelf. For example, in the Libya/Tunisia case of 1982, the International Court of Justice held that distance was in some cases the basis of the rights of coastal States and that freedom from natural extension was the sole basis of rights. In the Libya/Malta case of 1985, the International Court of Justice formally replaced natural extension by distance as 200 nautical seas. It is pointed out that the claim within 200 nautical miles of the continental shelf can only be determined by the distance measured from the coast of the coastal state and has nothing to do with the geological or geomorphological characteristics of the demarcation area. An important principle. Natural extension is not replaced by 200 nautical miles. Both are essential elements of the legal concept of the continental shelf.
The third chapter introduces the principle of equidistance in the delimitation of continental shelf.Starting with the concept and formation of equidistance and combining with customary international law and state practice,the article points out that equidistance is not the principle of customary international law.The author thinks that although equidistance delimitation is a simple and effective way to solve the problem of delimitation of continental shelf from a methodological point of view. Law can also achieve fair delimitation results by dealing with certain conditions. However, whether the continental shelf delimitation ultimately adopts the method of equidistance or other methods, it is to properly reflect the geographical and other special conditions in each delimitation case under specific conditions, is the embodiment of the principle of fairness in the delimitation of the continental shelf, equidistance. Delimitation can not be separated from the guidance of the principle of fairness, and the essence of fairness is to affirm the characteristics of the natural formation of the continental shelf and to ensure that these characteristics and requirements are implemented in the practice of delimitation of the continental shelf. In addition, the principle of equidistance has never really risen to the principle of delimitation in the course of the development of international law. It is only a specific delimitation rule or method that is subordinate to the principle of fairness and is governed by the principle of fairness. Although the principle of equidistance/special circumstances is frequently applied in practice, it does not have any legal compulsory nature in itself. There is no special legal status. This is incomparable with the principle of fairness in the delimitation of the continental shelf, in terms of status and effectiveness.
Chapter Four discusses the principle of fairness in the delimitation of the continental shelf. From the connotation of fairness and the understanding process of the International Court of Justice on the principle of fairness, the article points out that it is the basic principle of the delimitation of the continental shelf, which runs through the whole process of the delimitation of the continental shelf. It not only determines how to select the specific delimitation method, but also determines the specific criteria The concept of the principle of fairness is not only reflected in the international conventions relating to the delimitation of the continental shelf, but also embodied in the practice of delimitation of the continental shelf of many coastal States and becomes part of international law. The principle of fairness can not be interpreted abstractly. It must be linked to the specific considerations, i.e.'relevant circumstances', and must be sought to obtain one. The delimitation of the continental shelf is closely related to the complex and diverse characteristics of the continental shelf, such as coastal, geological and geomorphological factors, equal protection of islands and resources, etc. It is a demarcation method to ensure fairness, and proportional demarcation is a concrete test method to ensure the fair result of the delimitation of continental shelf.
In recent international judicial practice, the International Court of Justice is committed to taking certain measures to establish some obvious consistency and mandatory nature, so that the law is certain in certain aspects. As far as current international law is concerned, it can be said that whether it is Article 6 of the 1958 Convention on the Continental Shelf or Article 83 of the 1982 Convention on the Law of the Sea It is not important whether a disputed State is a party to the Convention on the Continental Shelf or to the Convention on the Law of the Sea, since there is now a delimitation of the continental shelf that can be set aside from the Convention in general or customary international law. However, judgments and analyses issued by the International Court of Justice in recent years show that the Court of Justice has gradually used the equidistant line as a temporary boundary between coastal states, which is similar to that stipulated in Article 6 of the Convention on the Continental Shelf. The principle of natural extension is gradually weakened and degraded into a factor that should be considered under the principle of fairness, while the equidistant middle line is a common practice method under the principle of fairness.
With the enrichment of international judicial practice on the single delimitation of maritime areas, the International Court of Justice is increasingly inclined to draw a provisional middle line as the first step in delimitation after analyzing each case. If the result is not fair, the court may adjust until the court considers that the result is fair. The adjustment may be made by approaching the middle line horizontally towards the coast of a certain country, reducing the effectiveness of the geological structure in delimiting the boundary, or by stopping the adjustment of the middle line from the beginning. The principle of equidistance/special circumstances is a specific method for achieving equitable delimitation, but All must meet the requirements of the principle of fairness so as to achieve fair goals and results.
After more than 40 years and more than a dozen cases of practice, the International Court of Justice and the arbitral tribunal's understanding of the applicable legal principles, demarcation methods and the scope of the relevant factors to be considered in the case of delimitation of the continental shelf has been relatively stable, but it is still unclear what factors should be considered in the specific case and what role these factors can play. Based on a series of cases of delimitation of continental shelf and sea area adjudicated by the International Court of Justice and arbitral organs after 1969, this paper analyzes the obligations of agreement on delimitation of continental shelf, the principle of natural extension, the principle of equidistance and the principle of fairness one by one. Attitudes towards the principle of natural extension have changed during the delimitation of continental shelf cases, and the principle of natural extension tends to be weakened; theories and practices of international law on the principle of equidistance/special circumstances have been enriched, especially in the application of the principle by coastal States in bilateral delimitation agreements, and the increasing maturity of the International Court of Justice and arbitration institutions. The principle of "two-step" continental shelf delimitation is affirmed; the principle of fairness/relevant circumstances remains the core of the whole continental shelf delimitation, which is embodied in the application of proportional delimitation; the two principles of equidistance/special circumstances and fairness/related circumstances show a trend of comprehensive application; the trend of delimitation of the single sea area on the continental shelf and the exclusive economic zone. Increasingly obvious.
The fifth chapter studies the demarcation principles that China should adopt in three areas: the demarcation of the Yellow Sea continental shelf in China, the demarcation of the East China Sea continental shelf and the demarcation of the South China Sea continental shelf. In the delimitation of the continental shelf between the East China Sea and Japan, we should adhere to the principles of natural extension and fairness/relevant conditions, scientifically analyze the geomorphological features of the Okinawa Trough so as to negate the theory that China and Japan belong to the same continental shelf, and negate the application of equidistant/special circumstances on the continental shelf of the East China Sea. We can try to ignore the effectiveness of the delimitation of the continental shelf of the Diaoyu Islands under the same conditions so as to find a breakthrough in the delimitation negotiations between China and Japan. At the same time, we can actively collect the geological and geomorphological data of the continental shelf of the East China Sea, supplemented by the coastal proportion. The author disagrees with the strategy of "putting aside disputes and jointly exploiting" in the South China Sea, advocating actively strengthening administrative jurisdiction and promoting resource exploration and development activities, and taking the development of military forces as a necessity. Guarantee.
【学位授予单位】:华东政法大学
【学位级别】:博士
【学位授予年份】:2011
【分类号】:D993.5

【引证文献】

相关硕士学位论文 前3条

1 李永妮;中日东海大陆架争端解决法律对策研究[D];新疆大学;2013年

2 郭振华;波斯湾地区海洋开发与海洋争端问题研究[D];郑州大学;2013年

3 罗蛟;影响国际法院的政治因素研究[D];云南民族大学;2013年



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