本文關鍵詞： 湄公河 國際水資源合作 法律機制　出處：《昆明理工大學》2014年博士論文　論文類型：學位論文

【摘要】：本文研究視角 本文試圖從國際河流水資源合作的角度闡釋構建湄公河全流域水資源國際合作法律機制的必要性和可能性,以及這一法律機制的基本功能。從國際合作是各參與國利益訴求的博弈行為及過程這一客觀現實出發(fā),從博弈論的視角對國際河流水資源的合作過程進行了分析,明確了水資源博弈的主要因子是河流各段在水利水能資源開發(fā)與河流水資源可持續(xù)利用上的損益,揭示了不同發(fā)展階段國際水資源合作中的博弈特點和規(guī)律,在此基礎上運用博弈論的基本方法構建了國際水資源合作的博弈模型,進而深入探討了中國參與湄公河流域水資源國際合作的現狀和可能的路徑,就如何在博弈分析的指導下參與和構建湄公河流域的水資源國際合作法律機制,規(guī)范和推進湄公河的全流域水資源合作,發(fā)揮中國在此機制中的積極作用進行了分析,對構建湄公河流域水資源國際合作法律機制的困難進行了分析,對構建設這一機制的前景進行了預判。本文的研究重點： 一、對湄公河流域水資源國際合作法律機制現狀的分析。 (一)通過對水資源、國際水資源和國際河流水資源進行定義,對湄公河流域水資源的特點進行定義,確定了特點1：湄公河流域水資源的地理性質決定了上下游水資源的客觀差異和不同河段水資源利用目標的沖突。特點2：湄公河水資源的整體性決定了河流水資源的可持續(xù)發(fā)展必須通過全流域的國際合作才能達成,這就在客觀上造成了湄公河流域水資源利用的矛盾性及國際合作的可能性和必要性。 (二)在闡明水資源國際合作法律機制原理的基礎上,對現有的湄公河流域水資源國際合作法律機制——湄公河委員會進行了分析,對湄公河流域水資源合作的國際法律基礎和中國與湄公河委員會的法律合作現狀進行分類探討,對湄公河流域水資源合作的法律機制進行剖析,指出：并非國際法律沒有參考,而是上下游國家——尤其是中國同湄公河委員會國家,在水資源國際合作方面存在嚴重分歧,導致湄公河流域水資源合作難以深入和擴展。由于湄公河上下游之間在流域水資源合作上的利益訴求沒有一個可供博弈的平臺,無法進行充分的博弈,因而在水資源利用上缺乏共識和妥協(xié)。又因國際河流水資源分屬不同主權國家的固有特點,導致難以形成有效的、權威的湄公河全流域水資源合作法律機制。 二、運用博弈論的方法探討湄公河流域水資源國際合作法律機制的構建路徑 通過對國際河流水資源合作特征的分析,確定了國際水資源合作是一種多個決策主體共同參與的非合作博弈,進而運用非合作博弈的理論方法,對中國同下游國家水資源利用的不同階段進行博弈分析,對中國參與下游水資源合作就將會受到水資源利益損失的傳統(tǒng)觀念進行了糾偏,證明上下游國家水資源合作在一定條件下將會轉化為多方得利的合作博弈,并且隨著水資源利用的不斷深入,無論上下游國家是否主觀上對水資源合作存在抵觸,均會為了自身的利益選擇參與到水資源國際合作法律機制當中,并且該合作法律機制的主要合作目的必然將從水電開發(fā)協(xié)調,轉移到水資源的可持續(xù)發(fā)展與環(huán)境保護上來。對博弈的結果進行抽象化得到以下結論： (一)在河流水資源合作初期,因為水資源分布的時空不均衡,流域各段水資源利益表現不同,不同主體的博弈選擇也會不同,上游國家和下游國家出于各自利益最大化考慮,均不會對構建全流域水資源國際合作的法律機制抱積極態(tài)度。上游國家甚至會顧慮到構建全流域水資源合作的法律機制會制約自己的水資源開發(fā)行為而抵制這種構建。而下游國家一般會在邀請上游國家參與得到否定答復后采取消極的合作態(tài)度,故爾上下游國家很難在河流水資源利用的初期就達成構建全流域水資源國際合作法律機制的共識。 (二)當水資源利用到達一定的水平,特別是當上游國家可開發(fā)的水利水電利益已經不足以和參與全流域合作得到的生態(tài)利益相對抗時,上游國家才會不可避免地尋求與下游國家進行全面的水資源國際合作。而下游國家在考慮到自身生態(tài)和水電利益的條件下也將選擇與上游國家進行積極的水資源合作。湄公河上游水資源開發(fā)的高峰期已經隨著中國段水能水電建設的基本結束而成為過去,但老撾、緬甸由于經濟發(fā)展相對滯后等原因,尚未達到開發(fā)高峰,此時構建湄公河全流域水資源國際合作法律機制還存在很大的利益沖突,但是由于全流域水資源合作對中國已經成為最大最佳的利益組合,在中國積極參與下的全流域國際水資源合作將成為各國的最終選擇,而構建湄公河全流域國際水資源合作法律機制的條件也趨于成熟。 (三)水資源利用進入后開發(fā)期時,全流域的生態(tài)利益合作會成為所有國家共同關注的最大利益,容易形成共同訴求和共識,成為國際合作的基礎。由此可知,湄公河流域水資源國際合作的最終目標必定是全流域整體的生態(tài)利益,湄公河流域水資源及生態(tài)保護的可持續(xù)發(fā)展將成為支撐各國共同構建法律機制的共同目標。 三、從國際河流水資源合作法律機制構建過程所得到的啟示 (一)依據國際水資源合作的現狀,國際流域水資源合作可分為三類：1.全面有效的國際合作流域。2.已形成全流域合作機制但實施效果不明顯的合作流域。3.基本沒有流域合作機制的國際流域。 (二)現行國際水資源利用都是基于兩個主要原則——公平合理利用原則與無害利用原則。公平合理與利用無害原則的國際實踐表明：國際合作法律機制的構建應體現國際水法的基本追求,體現流域各國在利用國際水資源的過程中應承擔的國際義務。構建法律合作機制的目的是實現公平和合理利用國際水資源,無害利用國際水資源,預防和解決國際水爭端的基本途徑。 水資源管理的兩大主要理論——可持續(xù)發(fā)展理論和系統(tǒng)理論都明確認為,國際水資源的國際合作是不可避免的客觀要求,而全流域的國際水資源合作是達到這一客觀要求的唯一渠道。 (三)借鑒多瑙河流域水資源合作的經驗,以歐盟水框架指令——國際水資源合作在法律機制層面上的典范為案例,認為： 1、湄公河水資源利益的實際博弈與多瑙河流域水資源合作的發(fā)展過程可以相互印證。 2、湄公河流域水資源國際合作應該也只能通過流域各國的國際法律合作而達成； 3、湄公河流域水資源國際合作法律機制應是一個綜合的水資源國際執(zhí)法機制； 4、湄公河流域水資源國際合作法律機制應是一個多重合作機制的復雜體； 5、湄公河流域水資源國際合作法律機制還將面臨長期的水資源利益合作挑戰(zhàn)。 四、對中國參與構建湄公河流域水資源國際合作法律機制的預判與展望 通過以上分析,可對中國參與構建湄公河流域水資源國際合作法律機制的前景加以預判和展望——即湄公河流域水資源國際合作法律機制的構建的緊迫性、可能性。具體表現在以下幾個方面： (一)中國參與建立湄公河流域水資源國際合作機制具有迫切性 1、湄公河國際河流的水資源的共享性特點要求中國盡快加入到湄公河流域水資源國際合作法律機制當中； 2、在瀾滄江流域開發(fā)、尤其是主干流開發(fā)進入中后期后,中國已大規(guī)模的進入湄公河下游國家進行水電開發(fā)活動,流域各國在水資源開發(fā)上的利益沖突需要有更為完善的平臺來實現博弈,需要建立面對水資源主權問題爭端的協(xié)商解決機制,而湄公河全流域水資源合作法律機制是解決這一類爭端的唯一出路； 3、從博弈論的角度分析,中國無論現在支持與否,隨著湄公河流域開發(fā)的進程,中國與下游國家終將選擇共同構建全流域的水資源國際合作法律機制； 4、中國的國家責任和國家利益都要求中國參與到構建湄公河全流域國際合作法律機制當中。 (二)根據湄公河流域自然條件、各國經濟發(fā)展的不平衡以及水資源國際法律合作的經驗,本文認為中國參與構建的湄公河流域國際合作法律機制必將是一個不斷調整的法律機制,不可能在初期就能夠達成較高的水資源合作水平,是一個不斷完善過程。 (三)認為中國在構建湄公河全流域水資源合作時,應當堅持——主權與公平利用原則,可持續(xù)發(fā)展與統(tǒng)籌協(xié)調原則,并對中國構建湄公河流域水資源合作的主要制度進行展望。
[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.

【學位授予單位】：昆明理工大學
【學位級別】：博士
【學位授予年份】：2014
【分類號】：D993.3;D996.9

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