發(fā)布時間：2018-02-09 05:02

  本文關(guān)鍵詞： 《聯(lián)合國海洋法公約》 北極航道 治理　出處：《大連海事大學(xué)》2016年博士論文　論文類型：學(xué)位論文

【摘要】：北極航道的開通,意味著連接?xùn)|北亞與北美、歐洲的海上航程將大大縮短。中國作為北極的利益攸關(guān)方,北極航道的開通對中國有著特殊且重要的意義。但北極航道實現(xiàn)大規(guī)模通航,除了受到自然條件的制約外,還受到北極航道的法律地位、環(huán)境條件、復(fù)雜的地緣政治和特殊的航行技術(shù)規(guī)范等諸多問題的制約。不同于南極有《南極條約》體系的規(guī)范,北極治理面臨法律制度碎片化的局面。北極航道治理在法律層面面臨的挑戰(zhàn)可從以下方面予以歸納：一是西北航道和北方海航道的法律地位問題懸而未決；二是北極航道相關(guān)的國際法、區(qū)域協(xié)定和沿岸國國內(nèi)法等不同法律規(guī)范間存在沖突、有待協(xié)調(diào)；三是北極航道法律規(guī)則的完善和未來的法律秩序構(gòu)建何去何從。圍繞上述問題,筆者對涉及北極航道的硬法和軟法做了全面的梳理、分析和研究,結(jié)合不同國家的利益關(guān)切,對解決問題的可行途徑從協(xié)商和司法兩方面做了探討,旨在探尋構(gòu)建公平、合理的北極航道法律秩序的有效途徑,為中國以適當(dāng)角色有效介入北極航道治理、參與北極航道法律秩序的構(gòu)建提出中肯建議。結(jié)合北極形勢發(fā)展和各國實際利益需求,本文從現(xiàn)有國際法框架和北極治理機制切入,探尋保障北極航道實現(xiàn)公平合理利用的現(xiàn)實可行的路徑。除引言和結(jié)論外,本文正文由六個章節(jié)組成。第一章對當(dāng)前形勢下北極航道治理面臨的法律問題做了分析。本章通過對“治理”、“北極治理”等概念的漸進式分析,將“北極航道治理”定義為以北極航道沿岸國和使用國的共同利益為價值導(dǎo)向,通過多元行為體的平等對話、協(xié)商和合作,共同探尋解決北極航運這一跨區(qū)域問題的規(guī)則、機制和方法。這一過程的基礎(chǔ)是協(xié)調(diào)而非控制,體現(xiàn)為持續(xù)的互動。北極航道治理面臨的法律問題主要是北極航道部分航段的法律地位爭議問題以及國際法、區(qū)域協(xié)定與沿岸國國內(nèi)法等不同層面法律制度間的沖突與協(xié)調(diào)問題。第二章對北極航道的法律地位問題做了分析研究。在北極航道治理面臨的法律秩序構(gòu)建中,西北航道和北方海航道的法律地位爭議是一個棘手的且在短期內(nèi)難以解決的問題。筆者認為,從航行角度看,北極航道法律地位爭議的核心是西北航道和北方海航道相關(guān)海峽的法律地位以及應(yīng)適用的航行制度問題。本章圍繞上述問題做了研析,認為北極航道的法律地位爭議涉及的法理問題本身具有一定的模糊性,缺乏具體的判斷標(biāo)準,加之北極航道法律地位爭議在一定程度上取于爭議主體間的政治關(guān)系和利益關(guān)切,在短期內(nèi)難以解決,繼而認識到在既有國際海洋法和國際海事組織框架內(nèi)航行法律規(guī)范的基礎(chǔ)上,通過不同利益國間的多邊磋商,有效協(xié)調(diào)適用國際法與沿岸國國內(nèi)法,是突破當(dāng)前形勢下北極航道治理面臨的法律困境的重要出路。第三章著重圍繞《聯(lián)合國海洋法公約》在北極航道治理中的適用問題,包括第234條北極例外條款“冰封區(qū)域”的解釋和適用以及公約中關(guān)于航行制度的一般性原則和規(guī)定與北極航道沿岸國的國內(nèi)法沖突做了分析。第四章圍繞國際海事組織框架內(nèi)法律規(guī)范,包括一般性法律規(guī)范和專門適用于極地的非拘束力的指南或文件以及拘束力規(guī)則作了梳理,對國際海事組織框架內(nèi)法律規(guī)范在北極區(qū)域協(xié)定制定和執(zhí)行中的作用做了分析。第五章對北極航道治理面臨的法律問題解決途徑作了探析。本章分析了既有的可資借鑒的共管模式,提出在國際海洋法和國際海事組織相關(guān)法律規(guī)范框架的基礎(chǔ)上,發(fā)展和完善適用于北極航道的法律規(guī)制；以現(xiàn)有北極治理機制為基礎(chǔ),由北極航道沿岸國和使用國共同磋商達成協(xié)議,設(shè)立北極航道組織協(xié)調(diào)機構(gòu),明確沿岸國和使用國的權(quán)利和義務(wù),由不同利益方共同管理北極航道相關(guān)事務(wù)。同時,結(jié)合國際司法、仲裁機構(gòu)的最新動態(tài),對北極航道治理相關(guān)法律問題提交國際司法、仲裁機構(gòu)解決的可行性和可能性以及提交國際海洋法法庭發(fā)表咨詢意見的可能性做了前瞻性研究。第六章對當(dāng)前形勢下中國在北極航道法律規(guī)范制定完善和法律秩序構(gòu)建中的角色做了思考,提出客觀定位中國在北極航道的權(quán)益,在北極航道治理中擔(dān)當(dāng)北極航道合作共贏的推動者、和平利用的倡導(dǎo)者以及環(huán)境保護和航行利益的平衡者；建議將北極航道納入“一帶一路”戰(zhàn)略；并對中國如何有效介入北極航道治理、在航道法律秩序構(gòu)建和法律規(guī)范制定和完善過程中發(fā)揮積極作用提出對策建議。
[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.

【學(xué)位授予單位】：大連海事大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2016
【分類號】：D993.5
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本文編號：1497141