湄公河流域水资源国际合作法律机制研究

【作者】 龙悦宁；

【导师】 齐虹丽；

【作者基本信息】 昆明理工大学 ， 矿产资源保护与法制， 2014， 博士

【摘要】 本文研究视角本文试图从国际河流水资源合作的角度阐释构建湄公河全流域水资源国际合作法律机制的必要性和可能性,以及这一法律机制的基本功能。从国际合作是各参与国利益诉求的博弈行为及过程这一客观现实出发,从博弈论的视角对国际河流水资源的合作过程进行了分析,明确了水资源博弈的主要因子是河流各段在水利水能资源开发与河流水资源可持续利用上的损益,揭示了不同发展阶段国际水资源合作中的博弈特点和规律,在此基础上运用博弈论的基本方法构建了国际水资源合作的博弈模型,进而深入探讨了中国参与湄公河流域水资源国际合作的现状和可能的路径,就如何在博弈分析的指导下参与和构建湄公河流域的水资源国际合作法律机制,规范和推进湄公河的全流域水资源合作,发挥中国在此机制中的积极作用进行了分析,对构建湄公河流域水资源国际合作法律机制的困难进行了分析,对构建设这一机制的前景进行了预判。本文的研究重点：一、对湄公河流域水资源国际合作法律机制现状的分析。(一)通过对水资源、国际水资源和国际河流水资源进行定义,对湄公河流域水资源的特点进行定义,确定了特点1：湄公河流域水资源的地理性质决定了上下游水资源的客观差异和不同河段水资源利用目标的冲突。特点2：湄公河水资源的整体性决定了河流水资源的可持续发展必须通过全流域的国际合作才能达成,这就在客观上造成了湄公河流域水资源利用的矛盾性及国际合作的可能性和必要性。(二)在阐明水资源国际合作法律机制原理的基础上,对现有的湄公河流域水资源国际合作法律机制——湄公河委员会进行了分析,对湄公河流域水资源合作的国际法律基础和中国与湄公河委员会的法律合作现状进行分类探讨,对湄公河流域水资源合作的法律机制进行剖析,指出：并非国际法律没有参考,而是上下游国家——尤其是中国同湄公河委员会国家,在水资源国际合作方面存在严重分歧,导致湄公河流域水资源合作难以深入和扩展。由于湄公河上下游之间在流域水资源合作上的利益诉求没有一个可供博弈的平台,无法进行充分的博弈,因而在水资源利用上缺乏共识和妥协。又因国际河流水资源分属不同主权国家的固有特点,导致难以形成有效的、权威的湄公河全流域水资源合作法律机制。二、运用博弈论的方法探讨湄公河流域水资源国际合作法律机制的构建路径通过对国际河流水资源合作特征的分析,确定了国际水资源合作是一种多个决策主体共同参与的非合作博弈,进而运用非合作博弈的理论方法,对中国同下游国家水资源利用的不同阶段进行博弈分析,对中国参与下游水资源合作就将会受到水资源利益损失的传统观念进行了纠偏,证明上下游国家水资源合作在一定条件下将会转化为多方得利的合作博弈,并且随着水资源利用的不断深入,无论上下游国家是否主观上对水资源合作存在抵触,均会为了自身的利益选择参与到水资源国际合作法律机制当中,并且该合作法律机制的主要合作目的必然将从水电开发协调,转移到水资源的可持续发展与环境保护上来。对博弈的结果进行抽象化得到以下结论：(一)在河流水资源合作初期,因为水资源分布的时空不均衡,流域各段水资源利益表现不同,不同主体的博弈选择也会不同,上游国家和下游国家出于各自利益最大化考虑,均不会对构建全流域水资源国际合作的法律机制抱积极态度。上游国家甚至会顾虑到构建全流域水资源合作的法律机制会制约自己的水资源开发行为而抵制这种构建。而下游国家一般会在邀请上游国家参与得到否定答复后采取消极的合作态度,故尔上下游国家很难在河流水资源利用的初期就达成构建全流域水资源国际合作法律机制的共识。(二)当水资源利用到达一定的水平,特别是当上游国家可开发的水利水电利益已经不足以和参与全流域合作得到的生态利益相对抗时,上游国家才会不可避免地寻求与下游国家进行全面的水资源国际合作。而下游国家在考虑到自身生态和水电利益的条件下也将选择与上游国家进行积极的水资源合作。湄公河上游水资源开发的高峰期已经随着中国段水能水电建设的基本结束而成为过去,但老挝、缅甸由于经济发展相对滞后等原因,尚未达到开发高峰,此时构建湄公河全流域水资源国际合作法律机制还存在很大的利益冲突,但是由于全流域水资源合作对中国已经成为最大最佳的利益组合,在中国积极参与下的全流域国际水资源合作将成为各国的最终选择,而构建湄公河全流域国际水资源合作法律机制的条件也趋于成熟。(三)水资源利用进入后开发期时,全流域的生态利益合作会成为所有国家共同关注的最大利益,容易形成共同诉求和共识,成为国际合作的基础。由此可知,湄公河流域水资源国际合作的最终目标必定是全流域整体的生态利益,湄公河流域水资源及生态保护的可持续发展将成为支撑各国共同构建法律机制的共同目标。三、从国际河流水资源合作法律机制构建过程所得到的启示(一)依据国际水资源合作的现状,国际流域水资源合作可分为三类：1.全面有效的国际合作流域。2.已形成全流域合作机制但实施效果不明显的合作流域。3.基本没有流域合作机制的国际流域。(二)现行国际水资源利用都是基于两个主要原则——公平合理利用原则与无害利用原则。公平合理与利用无害原则的国际实践表明：国际合作法律机制的构建应体现国际水法的基本追求,体现流域各国在利用国际水资源的过程中应承担的国际义务。构建法律合作机制的目的是实现公平和合理利用国际水资源,无害利用国际水资源,预防和解决国际水争端的基本途径。水资源管理的两大主要理论——可持续发展理论和系统理论都明确认为,国际水资源的国际合作是不可避免的客观要求,而全流域的国际水资源合作是达到这一客观要求的唯一渠道。(三)借鉴多瑙河流域水资源合作的经验,以欧盟水框架指令——国际水资源合作在法律机制层面上的典范为案例,认为：1、湄公河水资源利益的实际博弈与多瑙河流域水资源合作的发展过程可以相互印证。2、湄公河流域水资源国际合作应该也只能通过流域各国的国际法律合作而达成；3、湄公河流域水资源国际合作法律机制应是一个综合的水资源国际执法机制；4、湄公河流域水资源国际合作法律机制应是一个多重合作机制的复杂体；5、湄公河流域水资源国际合作法律机制还将面临长期的水资源利益合作挑战。四、对中国参与构建湄公河流域水资源国际合作法律机制的预判与展望通过以上分析,可对中国参与构建湄公河流域水资源国际合作法律机制的前景加以预判和展望——即湄公河流域水资源国际合作法律机制的构建的紧迫性、可能性。具体表现在以下几个方面：(一)中国参与建立湄公河流域水资源国际合作机制具有迫切性1、湄公河国际河流的水资源的共享性特点要求中国尽快加入到湄公河流域水资源国际合作法律机制当中；2、在澜沧江流域开发、尤其是主干流开发进入中后期后,中国已大规模的进入湄公河下游国家进行水电开发活动,流域各国在水资源开发上的利益冲突需要有更为完善的平台来实现博弈,需要建立面对水资源主权问题争端的协商解决机制,而湄公河全流域水资源合作法律机制是解决这一类争端的唯一出路；3、从博弈论的角度分析,中国无论现在支持与否,随着湄公河流域开发的进程,中国与下游国家终将选择共同构建全流域的水资源国际合作法律机制；4、中国的国家责任和国家利益都要求中国参与到构建湄公河全流域国际合作法律机制当中。(二)根据湄公河流域自然条件、各国经济发展的不平衡以及水资源国际法律合作的经验,本文认为中国参与构建的湄公河流域国际合作法律机制必将是一个不断调整的法律机制,不可能在初期就能够达成较高的水资源合作水平,是一个不断完善过程。(三)认为中国在构建湄公河全流域水资源合作时,应当坚持——主权与公平利用原则,可持续发展与统筹协调原则,并对中国构建湄公河流域水资源合作的主要制度进行展望。更多还原

【Abstract】 Research perspectiveThis article attempts to explain the necessity and possibility of construction of Mekong water resources basin-wide legal mechanisms for international cooperation, as well as the basic functions of the legal mechanisms river water resources from the perspective of international cooperation. International cooperation is the process of game behavior and interests of the participating countries of the objective demands of reality, from a game theory perspective on the process of international cooperation in the river water were analyzed, clearly the main factor of the game is the river of water in each segment profit or river water conservancy and hydropower resources development on the sustainable use of water resources, and reveals the different stages of development of international cooperation in water resources characteristics and laws of the game, using the basic method of game theory constructed on the basis of international water cooperation game model, and then discuss in depth the current situation and possible paths China to participate in international cooperation in the Mekong River Basin water resources, water resources on how to participate and build the legal mechanism for international cooperation in the Mekong River Basin Game Analysis of guidance, standards and promote the Mekong basin-wide water resources cooperation, China play a positive role in this mechanism were analyzed, the difficulties of legal mechanisms for international cooperation to build water resources of the Mekong River Basin were analyzed on prospects of construction of this mechanism were to predict.The focusFristly, the analysis of water resources in international cooperation mechanisms for the Mekong River.(a) Through the water resources, water resources and the international definition of international river water resources, water resources in the Mekong River basin characteristics define, determine the characteristics of one:geographical nature of the Mekong River Basin water resources determines the objective differences between the upstream and downstream water river water use conflicts and different goals. Feature2:determining the integrity of the Mekong water resources for sustainable development of water resources of the river must be reached through international cooperation the whole basin, which resulted in the objective contradictions and possibilities of international cooperation in the Mekong River Basin water use and necessity.(b) Clarifing the principles of water resources in the legal mechanisms for international cooperation on the basis of the existing water resources in the Mekong River Basin legal mechanism for international cooperation, the Mekong River Commission analyzed the international legal basis for cooperation on water resources in the Mekong River Basin and China and the Mekong carried Status classification of Legal Cooperation Committee, the legal mechanism of the Mekong River Basin water resources cooperation analyze, states:international law does not refer to, but on the downstream countries-particularly China and the Mekong River Commission, national, international cooperation in water resources there are serious differences, resulting in deep water cooperation in the Mekong River and difficult to expand. Since interest demands on water resources cooperation between the Mekong river basin downstream platform available without a game, the game can not be fully and thus the lack of consensus and compromise on water use. Because of the international river water resources belong to the inherent characteristics of different sovereign states, making it difficult to form an effective and authoritative legal mechanism of cooperation in the Mekong basin-wide water resources.Secondly, using game theory to explore water resources in the Mekong River Basin legal mechanism for international cooperation to build a pathBy analyzing the characteristics of the international river water cooperation, identified the international water cooperation is more than a non-cooperative game to participate in the decision-making body, and thus the use of non-cooperative game theory, the downstream countries of China with different water use stage game analysis on China’s participation in the downstream water cooperation on water resources will be the loss of the traditional concept of interest were correct, proven national water upstream and downstream cooperation under certain conditions, will be transformed into multi-benefit cooperation game, and with the deepening of water use, regardless of whether the downstream countries cooperation on water resources exist subjectively conflict for their own interests will choose to participate in the legal mechanism for international cooperation among water resources, and the cooperation of the main purpose of the inevitable legal mechanisms of cooperation from hydropower development coordination, transfer to sustainable development and environmental protection of water resources up. Game results were abstracted the following conclusions:(a) the initial cooperation in river water resources, because the spatial and temporal distribution of water resources is not balanced, the performance of the different interests of the various River Basin water resources, the game will choose different subjects in different upstream and downstream countries to maximize the benefits for their own national considerations, There will not be constructed legal mechanisms for international cooperation in the whole basin of water to take a positive attitude. Upstream countries will even take into consideration the whole basin of water cooperation to build the legal mechanism would restrict their water resources development act to resist this build. The downstream countries will normally be invited to participate in the upstream countries to get a negative answer to take a negative attitude of cooperation, it is difficult to Seoul on downstream countries in the early river water use on the construction of water resources to achieve international cooperation in basin-wide consensus on legal mechanisms.(b) When water use reaches a certain level, especially when the water conservancy and hydropower interests of upstream countries can be developed and ecological benefits have been insufficient to get the full participation and cooperation to confront the basin, upstream countries will inevitably seek and downstream countries comprehensive international cooperation in water resources. The downstream countries, taking into account the interests of their own ecological and hydro conditions with the upstream countries will be selected for active co-operation of water resources. The peak of the upper Mekong water resources development China has basically completed with the construction of hydropower and water segment of the past, but Laos, Myanmar economic development is lagging behind other reasons, the development has not yet reached its peak at this time to build the whole Mekong River Basin Water Resources International legal mechanisms of cooperation there is a big conflict of interest, but because the whole basin of water cooperation, China has become the biggest and best combination of interests, international water cooperation in China with the active participation of the whole basin will become the ultimate choice of countries, and build conditions Mekong basin-wide cooperation in international water law mechanisms are mature.(c) the use of water resources into the development of cooperation ecological interests of the whole basin will become the biggest common interest of all countries concerned, it is easy to form a common aspirations and consensus as the basis for international cooperation. It can be seen that the ultimate goal of international cooperation in the Mekong River Basin water resources must be the interests of the whole watershed ecology, sustainable development and ecological protection of water resources in the Mekong River Basin will become the common goal of supporting countries to work together to build legal mechanisms.Thirdly, the revelation process resulting from the construction of international legal mechanism river water cooperation(a) in accordance with the status of international water resources cooperation, cooperation in international water basin can be divided into three categories:(1) a comprehensive and effective international cooperation Basin.2basin-wide cooperation mechanism has been formed but the implementation is not obvious cooperative watershed.3. Basically no international cooperation mechanism watershed basin.(b) the existing international water use are based on two main principles-the principle of equitable and reasonable utilization and harmless use principle. Fair and reasonable and the use of sound principles of international practice shows:Building international cooperation mechanism should reflect the basic legal pursuit of international water law, reflecting the international obligations of the countries in the basin water use international process should be undertaken. The purpose is to build legal cooperation mechanisms to achieve equitable and reasonable utilization of international water resources, harmless use of international water resources, prevention and basic way to solve international water disputes.Two main theories for water resource management-Sustainable development theory and systems theory are clear that international cooperation is inevitable international waters objective requirements, and international water basin-wide cooperation is required to achieve this objective only channels.(C) draw on the experience of the Danube River Basin water resources cooperation, the EU Water Framework Directive-International cooperation on legal mechanisms of water-level model for the case, said: 1, the actual interests of the game and the Mekong River water resources development cooperation in the Danube River Basin water resources can confirm each other.2, international cooperation in the Mekong River Basin water resources should only international legal cooperation through basin countries and reach;3, the Mekong River Basin water resources legal mechanism for international cooperation should be an integrated water resources of international enforcement mechanisms;4, the legal mechanism for international cooperation in the Mekong River Basin water resources should be a multi-complex of cooperation mechanisms;5, water legal mechanism for international cooperation in the Mekong River Basin water resources will face long-term challenges of the benefits of cooperation.Fourthly, China’s participation in international cooperation to build water resources of the Mekong River Basin legal mechanism to predict and ProspectsThrough the above analysis, can be pre-judgment and vision for the prospects of China’s participation in international cooperation in legal mechanism to build water resources of the Mekong River Basin-Construction of water that legal mechanisms for international cooperation in the Mekong River Basin urgency possibilities. Specifically in the following areas:(a) the establishment of China’s participation in international cooperation mechanisms in the Mekong River Basin Water Resources urgency.1, the characteristics of the Mekong River water sharing international rivers of water added to the requirements of China as soon as possible legal mechanisms for international cooperation among the Mekong River;2, in the Lancang River Basin development, especially after the mid-and late into the mainstream of development, China has entered a large-scale hydropower development in the lower Mekong countries activities, national watershed conflict of interest in the development of water resources requires a more sophisticated platform to achieve game, the need to establish the sovereignty issue facing the water resource disputes resolved through consultation mechanism, and water cooperation in the Mekong basin-wide legal mechanism is the only way to resolve this type of dispute;3, from game theory point of view, China is now whether or not to support, along with the process of developing the Mekong River Basin, China and the downstream countries will eventually choose a common legal mechanisms for international cooperation to build water resources in the basin;4, State responsibility and China’s national interests require China to participate in the construction of the Mekong basin-wide mechanisms for international cooperation among law.(b) Based on the experience of the Mekong River Basin natural conditions unbalanced economic development of countries and international legal cooperation in water resources, this paper considers the legal mechanisms for China’s participation in international cooperation in the Mekong River Basin is bound to build a legal mechanism to constantly adjust, it is impossible in the early Water will be able to reach a higher level of cooperation, is a continuous improvement process.(c) China in the construction of water resources in the Mekong basin-wide cooperation should adhere to the main principles-the principle of sovereignty and the equitable utilization, the principles of sustainable development and coordination and co-ordinate.and the principle of sustainable development, and China to build major projects of cooperation in the Mekong basin water resources outlook.更多还原