【作者】 吴琼；

【导师】 周洪钧；

【作者基本信息】 华东政法大学 ， 国际法， 2010， 博士

【摘要】 北极曾经是远离人们视线的遥远地区,也是各北极国家政治、经济的边缘问题。可是伴随着二十一世纪北极各国全球战略的谋篇布局以及北极海域显著的气候变暖,北极丰富的海洋资源及商业化通航的航道成为各国觊觎的目标。2007年8月,俄罗斯北极科考队在北极点的北冰洋底插上了钛合金国旗,致使北极海域国家之间的“明争暗斗”瞬间进入了全世界的视线。一时间,北极海域国家的“新仇旧恨”似乎都到了“白热化”的程度。在当今“热闹非凡”的北极地区究竟蕴藏着何种国际法制,本文将由此揭开其神秘的“面纱”。本文由导言和五章组成,计21万字。主要内容分述如下:第一章为“北极海域的概述”。在该章中首先对北极海域的范围、特点、北极海域国家以及北冰洋沿海国的界定有个初步的介绍。文中北极海域的范围包括主体海洋的北冰洋及九个附属海域。依据此标准,通常所指的八个北极国家中,加拿大、美国、俄罗斯、丹麦(格陵兰岛)、冰岛、挪威可以称为“北极海域国家”;如果仅指北冰洋的沿海国,除冰岛之外,就是上述的其他五个国家。当今的全球气候变化对北极海域的影响较大。根据科学家们的报道,本世纪末北冰洋也许会变成无冰之洋。这种变化对北极海域来言,既有消极的影响,也有积极的影响。消极的影响体现在对北极海域的海洋环境,乃至全球环境、海洋的生物资源将会带来灭顶之灾;而积极的影响主要在于北极海域开发利用的商业价值,包括海底油气资源的勘探和开发、航道的商业化通航;而积极因素的影响正是引发北极海域国家争端纷起的主要原因。北极海域并不是像一些学者所称的“法律的真空”;反之有关海洋的国际法、北极各国签署的双边、多边条约以及目前的区域环境软法都适用于北极海域的方方面面。第二章为“北极海域海权的确立”。北极海域国际法律问题的研究必然会涉及北极海域国家的主权问题。至今,围绕北极海域的陆地,包括北极海域中的绝大部分岛屿已被八个北极国家划分完毕,涉及到的陆地领土主权的争议已基本解决;但在北极海域,北极海域国家之间的海洋权益争端却纷争不断。在了解各国的海洋争端之前,应首先了解北极海域国家在北极海域所确立的海权,这为后续洞悉各国的海洋争端奠定基础。该章从北极海域国家领海主权的确立为起点,依次介绍了各国在北极海域的领海、专属经济区和大陆架的海权确立以及航行权的确立。在确立海权的过程中,可以看到北极海域国家对国际社会的贡献既有独特的国家实践,也有北极海域国家所提出的创新性的理论。前者典型的如挪威、加拿大北极群岛、俄罗斯北极群岛直线基线的国家实践;加拿大、俄罗斯在冰封的专属经济区对外籍船舶航行的“长臂管辖”;后者如“扇形理论”和“北极湖理论”的提出。在北极海域的海权确立中,原有的相关边界协议和1982年《海洋法公约》是主要的影响因素。尤其是《海洋法公约》既是这场北极海域“热战”的法律诱因,同时也为这场“战争”的最终停战提供了解决的路径和实体法依据。该章的最后一节将北极海域的海权确立与当代国际海洋法相结合,从对当代国际海洋法的发展与对其的挑战两个角度来予以了提炼和总结。第三章是“北极海域的争端及其法律评析”。该章对北极海域所存在的争端一一进行了回顾、详述与法律评析。北极海域的争端应该说涉及到海洋的方方面面。其既有岛屿之争,如加拿大与丹麦的汉斯岛之争、挪威与俄罗斯有关斯瓦尔巴德群岛专属经济区与大陆架相关问题的争端;加拿大与美国、欧盟的西北航道、俄罗斯与西方国家的北方海运航道之争;也有专属经济区、大陆架外缘的划界、海洋边界的划界之争,如美加的波弗特海海洋边界及大陆架争端;加拿大、俄罗斯、丹麦围绕着罗蒙诺索夫海岭与门捷列夫海岭的大陆架之争以及挪俄的巴伦支海大陆架的划分问题。在北极海域国家与非北极国家之间,目前存在着对北冰洋国际海底区域的不同立场。对每一问题,本章依据国际海洋法、国际条约法等的规定以及国际法院的审判实践,进行了较为深刻的法律评析。对未来北极海域争端的解决途径,该章最后一节从法律方法与政治方法的两种途径进行了法律分析;尤其是就政治方法而言,是否构建一个像《南极条约》一样的《北极条约》,是近期一直在探讨的国际热点问题。第四章的主题就是“北极海域的海洋环境保护”。上世纪八十年代北极地区面临的环境污染日趋严重,主要的环境问题包括持续有机污染物的污染、重金属的污染、臭氧层的消耗、酸化和噪音的污染、核辐射的污染和石油泄露及船舶的其他污染问题等。而新世纪,气候变暖又构成影响北极海域环境的最大威胁。北极海域的环境保护法制相对复杂,除各国国内的环境立法之外,区域环境“软法”制度与适用于北极海域的全球性环境公约构成对北极海域环境保护的国际法制。该章在分析北极理事会各工作小组的成就与不足的基础上,对北极海域现有的区域环境“软法”制度进行了详述与法律评析。对于适用于北极海域的主要全球环境公约和区域环境公约,文章主要从海洋污染的控制、海洋生物资源的保护以及与北极海域海洋环境保护相关的主要问题,如持续有机物的控制、气候变化等予以了分析。第五章“北极海域国际法制的前景与思考”,为整篇论文的结束篇。作为论文的最后一章,作者认为该章应与前几章“遥相呼应”;同时对北极海域未来的国际法制应有所总结、展望并提出自己的见解。而自新世纪以来,尤其是俄罗斯2007年北冰洋底插旗事件之后,北极海域国家都发表了自己最新的北极地区新战略;2008年5月28日,五个北冰洋沿海国聚首丹麦格陵兰的伊卢利萨特并共同发布了《伊卢利萨特宣言》;2009年4月,北极理事会发布了《罗姆瑟宣言》,指出未来两年北极理事会的工作重点。通过解读北极海域国家的最新北极战略及区域性宣言,北极海域未来国际治理的发展模式可见一斑。此外,对于未来北极海域国际法制的构建,文章主要从北极海域船舶航行法制与海洋资源的国际保护两个方面进行了初步的设想。对于前者,IMO将起到重要的作用;而对于后者,北极海域国家或八个北极国家可以制定一个类似《南极海洋生物资源养护公约》的一个协议。对于当今“热闹非凡”的北极海域,中国应享有何种利益并应坚持何种原则和立场,作者在该章的最后一节提出了自己的见解。更多还原

【Abstract】 The Arctic Region has ever been a remote area which is far away from people’s lines of vision and it is also deemed to be a fringe issue in the Arctic states’political and economical concerns. However, with the Arctic states’new global strategic deployments and obvious warm climate change in the Arctic region, the abundant sea resources and commercial shipping in the Arctic Seas become Arctic states’chasing targets. In August 2007, the Russian Arctic Scientific Expedition Team planted a titanium Russian flag on the seabed beneath the North Pole, which made the Arctic states’infighting come into the spotlight of the international world. Instantly, the old scores and news among the Arctic nations seemed to turn white-hot. What kinds of international legal regime would be like behind such a bustling Arctic region, the paper herein will uncover its mysterious“veil”. The paper is composed of an introduction and five chapters, approximately 210,000 words. The main contents hereby are as follows:Chapter One: General Introduction to the Arctic Seas. The Chapter first has a preliminary introduction to the scope and feature of the Arctic Seas as well as the definition of the countries around the Arctic Seas and the Arctic coastal countries. The Arctic Seas herein include the Arctic Ocean and its nine annexed seas. In accordance with this criterion, Canada, Russia, America, Denmark(Greenland), Norway and Iceland among the commonly-called eight Arctic states could be known as the countries around the Arctic Seas while the aforesaid five countries except Iceland are referred to as the Arctic Ocean coastal countries. The present global climate change exerts much influence on the Arctic Seas. Some scientists reported that the Arctic Ocean would be iceless at the end of this century. This change will bring both negative and positive effects to the Arctic Seas. The negative effects are that the crowning calamity to the sea environment, even the global environment may arise therefrom. The positive effects mainly lie in the commercial values of the Arctic Seas including the exploitation and development of the gas and oil on the seabed and the commercial shipping which are supposed to be the leading reason to the disputes among the countries around the Arctic Seas. The Arctic Seas are not a vacuum of legal system as what some scholars said. Instead, the relevant international laws concerning with the sea, the bilateral and regional treaties and the regional soft environmental laws shall be applied to the aspects of the Arctic Seas.Chapter Two: Established Sea Rights over the Arctic Seas. The issue of the Arctic sates’sovereignty is an inevitable topic when some researches about the international legal system in the Arctic Seas are being done. So far, the lands around the Arctic Seas, inclusive of the main islands in the Arctic Seas have been divided by the eight Arctic states. In most instances no disputes existed over the title to Arctic lands. However, the disputes arising from the sea rights among the countries around the Arctic Seas never stop. Before touching on these disputes, we’d better go through with the established sea rights over the Arctic Seas by the surrounding countries which can provide the basis for the following understanding of the disputes. The chapter herein starts from the territorial sea rights in the Arctic Seas and introduces the sea rights in the territorial seas, the exclusive economic zones, the continental shelves as well as the shipping rights respectively. The countries around the Arctic Seas not only contribute to the international world with their peculiar national practices but also some innovative theories in the process of asserting the sea rights in the Arctic Seas. The typical examples for the former are the national practices of the straight baseline by Norway, Canada and Russia and the“Long-arm Jurisdiction”over the foreign ships by Canada and Russia in their ice-covered EEZs. The latter are some new theories like Sector Principle and Arctic Lake Theory. Besides, the original boundary treaties and the United Nations Convention on the Law of the Sea of 1982 are also the predominating factors affecting the assertion of the sea rights in the Arctic Seas by the surrounding countries. Especially, the 1982 UNCLOS is not only attributed to today’s“hot war”in the Arctic Seas, but also provides the ways and substantive laws for the final cease-fire. The last section in this chapter combines the assertion of the sea rights in the Arctic Seas with the international laws of the sea and then extracts and summarizes the development and challenge made to the international laws of the sea.Chapter Three: The Disputes in the Arctic Seas and its Legal Comments. This chapter reviews and expounds each dispute arising from the Arctic Seas in depth and then comments it from the perspective of the law respectively. The present disputes in the Arctic Seas involve different aspects of the sea. There existed the disputes over the islands like Hans island dispute between Canada and Denmark, the EEZs and continental issues of the Svalbard Islands between Russia and Norway, the disputes over the shipping passage like the Northwest Passage between Canada and the United states, the European Union, etc. and the Northern Sea Route between Russia and the western countries., and also existed the disputes over the EEZs, the outer limits of the continental shelves and the sea boundaries such as the United States-Canada’s dispute over the boundary in the Beaufort Sea and its continental shelf, the continental shelf disputes of Alpha-Mendeleev Ridge and Lomonosov Ridge among Canada, Russia and Denmark, and the division of the continental shelf in Barents Sea between Russia and Norway. As to the countries surrounding the Arctic seas and the non-Arctic states, they show different standpoints over the International Seabed Areas. In this Chapter, the author laid profound legal comments on each issue in the light of the international laws on the sea, the international treaty law and the verdicts made by the International Court of Justice. As to the ways to settle the disputes in the Arctic Seas in the coming days, the last section of the chapter listed and analyzed the legal outlets and the political ones. Especially, in term of the political ones, the possibility of the Arctic Treaty which is similar to the Antarctic Treaty is an international hot issue nowadays.Chapter Four: Sea Environmental Protection to the Arctic Seas. Since the late 1980s, the environmental pollution increasingly posed threats to the Arctic region. The environmental pollution mainly consisted of persistent organic contaminants, heavy metals, ozone depletion, acidification and noise, radioactivity and oil pollution from the leakage of the ships and so on. In the new century, warm climate change has turned into the greatest threat imposed to the Arctic region. The environmental legal regime in the Arctic region seems to be relatively complicated. Apart from the domestic laws in each Arctic state, the regional soft legal system and the international environmental conventions applied to the Arctic region constitute the international legal regime for the protection of the Arctic environment. The chapter hereby analyzes and comments on the present regional environmental soft legal system based on the achievements and defects by the working groups of the Arctic Council. As to the global and regional environmental conventions applied to the Arctic region, the essay touches on the main issues like the control of the sea pollution, the protection of the biological diversity and the relevant key issues like POPs, climate change, etc..Chapter Five: Prospect and Pondering over the Arctic Seas. As the conclusive part of the dissertation, it is deemed to be corresponding to the previous chapters and summarize and envision the international legal regime of the Arctic region in the coming days and thereby put forward the author’s own perspectives. In the new century, each country surrounding the Arctic seas has issued its newest Arctic strategy after Russia’s planting of a flag at the North Pole. On May 28, 2008, the five Arctic Ocean coastal states gathered together in Ilulissat, Denmark and announced the Ilulissat Declaration. In April 2009, the Arctic council issued the Troms? Declaration, in which it indicated the key works in the next two years. By analyzing these new Arctic strategies of the Arctic states as well as the regional declarations, the future trend of the international legal regime of the Arctic region could be clued. Besides, as to the specific approaches to the future international legal regime in the Arctic seas, the chapter herein imposes preliminary pondering over the construction of shipping legal system and protection of sea resources. IMO will play a leading role in the former while the treaty like the Convention on the Conservation of Antarctic Marine Living Resources might be concluded by the six countries around the Arctic Seas or by the eight Arctic states. What China enjoys in the Arctic seas and how China sticks to its principle and standpoint while facing today’s“boisterous”Arctic Seas,the author explained her own viewpoint in the last section of this chapter.更多还原