【作者】 白明华；

【导师】 边永民；

【作者基本信息】 对外经济贸易大学 ， 国际法学， 2014， 博士

【摘要】 在人口增长、水源污染、能源紧缺的今天，开发利用跨国水资源，对国家的能源安全和经济可持续发展至关重要。目前全球国际河流共计263条，约占全球河流径流量的60%，影响着生活在国际流域的占世界五分之二的人口。跨国水资源的流域国要共享水资源，必须在实践中深化和拓展国际合作原则。为了使各国更深入地发挥和释放在跨国水资源领域合作的巨大潜力，联合国大会将2013年定为国际水合作年。国际河流在我国境内的河段蕴藏着巨大的水能，未来我国要实现保护性利用跨国水资源，也必须广泛发展跨国水资源领域的国际合作。国际水法的理论证实跨国水资源的国际合作原则已确立，跨国水资源的客体范围和合作领域在拓宽。本论文分析了跨国水资源合作的协调法律机制的具体内容和保障实现的法律制度，力图在跨国水资源的利用、开发、治理、保护过程中，以国际合作的协调机制和法律保障制度推动跨国水资源的可持续发展。本论文沿着“理论篇—实践篇—制度篇—中国借鉴”的技术路线，主体分为九章。第一章引言部分，作为论文的开篇，对论文选题的理论意义和现实意义、国内外研究现状、研究方法、主要内容、可能的创新点和不足之处进行介绍。第二、三章是论文的理论篇。第二章介绍了跨国水资源利用学说理论的演进。本章界定了跨国水资源的概念，阐述了国际河流概念演进经历了从“国际河流”到“国际水道”，又发展为“国际流域”的过程，强调的侧重点从国际河流强调“可通航性”到国际水道强调“可通航性”和“有商业价值”，又到现在的国际流域概念强调跨国水资源包括地表水和地下水在内的整体，强调综合利用以取得最高效益。跨国水资源利用的学说演进经历了从绝对领土主权论和绝对领土完整论时代到限制领土主权论，再到沿岸国共同体论的过程，反映了各国从强调主权到淡化主权，到强调跨国水资源综合利用的过程。国际河流概念的变化、跨国水资源利用学说的演进、流域国为相邻关系的界定培育了国际合作精神，推动跨国水资源领域的实体规则建设。第三章，从理论上论证国际合作原则是国际水法的一项基本原则。本章分析了国际合作原则在国际水法中的表现形式、确立依据以及重要作用。众多的双边条约、多边条约，国际法学团体的软法文件，国际法院和其他司法机构的裁决，均证实和反映了国际合作原则已成为国际水法的一项基本原则。跨国水资源领域的国际合作是公平合理和无重大损害利用的实现途径，可以创造经济价值，是保护水资源和环境的客观要求，对国际社会的公正、和平环境维护都具有重大意义。第四、五章是论文的实践篇，描述跨国水资源国际合作在实践中的拓展深化。第四章介绍跨国水资源国际合作的范围在拓宽。目前国际水资源的主要客体范围指以地表水形式存在的国际河流（湖泊），与此相关的国际公约法律规范主要是联合国大会1997年通过但至今仍未生效的《联合国国际水道非航行使用法公约》。20世纪50年代后，跨国水资源的调整范围从地表水扩延至地下水含水层。2008年联合国国际法委员会二读通过了《跨界含水层法条款草案》。由于淡水资源的稀缺，可被用来进行人工降雨和降雪的跨界云雾水，全人类共有的两极地区的淡水资源，资源化的污废水也很可能成为各国间利用和合作的关注焦点。第五章阐述了跨国水资源国际合作的领域在拓宽。各国在利用水资源的早期阶段，对河水的利用率低，最初的矛盾是界河界湖的划界问题。航行技术发展后，跨国水资源利用领域确立和巩固了沿岸国自由航行制度。20世纪初始，以水利发电为主的非航行利用占据了主导地位。目前跨国水资源领域存在的主要冲突是水量分配和水利利用的竞争。未来跨国水资源的保护合作应成为发展的重点，要求各流域国不仅要共同分享，更要共同保护。第六、七章是论文的制度篇。第六章介绍跨国水资源国际合作的协调法律机制。跨国水资源领域国际合作的协调法律机制主要包括交流数据和信息、跨界环境影响评价、联合环境监测、公众参与、科学研究和技术开发合作、通知和紧急情况下的合作等规则制度。我们可以预见到，今后跨国水资源领域的国际关系仍将是矛盾与合作长期同时存在的局面，随着区域合作的强化和一体化的深入发展，合作的一面将逐渐占据引领地位。第七章介绍跨国水资源国际合作实现的法律保障。流域国达成流域水条约并遵守履行、建立流域组织机构、多样化的跨国水争端解决机制是跨国水资源国际合作实现的法律保障。签订流域水条约和建立流域组织机构都带有强烈的区域合作的特征。跨国水资源争端的和平解决是跨国水资源国际合作实现的最终屏障，多样化的自愿解决跨国水争端的方式符合今后的发展方向。第八章分析了我国跨国水资源国际合作的现状、困境及发展建议。我国在十二五规划中指出要重点推进开发西南地区丰富的水电能源。本论文以我国西南地区蕴藏丰富水能资源的澜沧江—湄公河流域为例，分析了我国跨国水资源国际合作的问题。从目前来看，中国西南大湄公河次区域涉及的跨国水资源争端和冲突主要集中于中国作为上游国家，在水能资源开发和水利项目建设的一些争议。本论文认为，微观上，我国可以突破国际政治、环境、工程等一系列障碍，采用联合项目开发水电的形式；中观上，我国应逐步深化区域合作，循序渐进地参与流域条约和流域组织机构的构建；宏观上，我国应加大力度利用国际资金参与跨国水资源开发。第九章是本论文的总体结论和前景展望部分。跨国水资源国际合作在拓展和深化，但还有诸多不足和广泛的努力空间。目前跨国水资源合作仍主要限于水利开发、工程建设等经济合作，在污染预防与控制、生物多样性保护等方面，国际社会尚未建立有效的制度。跨国水资源国际合作原则作为一项有旺盛生命力的原则，有赖于在全球范围内具体制度的规划、布置和扩展。更多还原

【Abstract】 Nowadays humanity is faced with such troublesome problems as populationexplosion, water pollution, and energy crisis. Therefore, it is of vital importance todevelop and utilize transboundary water resources for the sake of a country’s energysafety and sustainable economic development. There are263international rivers on theearth accounting for about60percent of global river flow, with two-fifths of the globalpopulation living in the international basin. The riparian countries in international riverbasin should deepen and expand international cooperation in practice for sharingtransboundary water resources. The United Nations has declared2013the InternationalYear of Water Cooperation for every country to further reach the great potential fortransboundary water resource cooperation. The international rivers within our borderreserve great hydropower. To realize the protective utilization of transboundary waterresources, we should widely enhance international cooperation in the field oftransboundary water resources in the future. The theory of international water lawproves that the international cooperation principle has been established with thewidening of the object scopes and collaborative areas of transboundary water resources.This paper suggests that coordination mechanism and legal guarantee system ofinternational cooperation be built to promote sustainable development oftransboundary water resources in the course of utilization, development, governanceand protection.The paper is divided into nine chapters, following the technical route fromtheories to practices, then to systems, finally to how China uses for reference.The first chapter is the introduction. As the beginning of the paper, it introducesthe topic’s theoretical and practical significance, overseas and domestic research status,research methods, major content, potential innovations and deficiencies.The second and the third chapter are about theories. The second chapterelaborates on the evolution of theories in terms of the utilization of transboundarywater resources. First, this chapter defines the concept of transboundary water resource.Then, it discusses the change of the concept. The concept of international river has evolved from the one which emphasizes free navigation to that stressing thenavigability as well as the commercial significance of the international watercourse,then to that which lays emphasis on the international basin in terms of the overallexploration and comprehensive utilization of transboundary water resources. Thetheory concerning the utilization of transboundary water resources has developed fromits focus on absolute territorial sovereignty and absolute territorial integrity to that onlimited territorial sovereignty and then to that on community of interests, apparentlyindicating the desalination of sovereignty in the process of its development, thenplacing emphasis on comprehensive utilization. Developments of theories ininternational water law have helped foster a spirit of international cooperation thatpromotes the construction of substantive legal rules.The third chapter demonstrates theoretically that the international cooperationprinciple is a basic principle of international water law. This chapter analyses theforms, evidences and important value of the international cooperation principle.Numerous bilateral treaties, multilateral treaties, soft law documents constituted byinternational law group, judgments of international court and other judicial bodies, allprove that the international cooperation principle is a basic principle of internationalwater law. The international cooperation in the field of transboundary water resourcesmay create economic value, lead to equitable and reasonable utilization, and utilizationwithout major damage. Meantime, it is the objective demand for the protection ofwater resources and environment, which is of great significance to the maintenance ofimpartial and peaceful environment of the international society.The fourth and the fifth chapter are about practices which describe how theinternational cooperation broadens on transboundary water resources. The fourthchapter reveals that the scope of international cooperation on transboundary waterresources is widened. Now the object scope of transboundary water resources mainlyrefers to the international river (lake) existing in the form of surface water, and theinternational convention related to it is <UN Convention on the Law of theNon-navigational Uses of International Watercourses> adopted by the GeneralAssembly of the United Nations in1997which has not come into effect now. After the1950s, the adjustment range of transboundary water resources broadened from surface water to transboundary aquifer. In2008, International Law Commission of the UnitedNations passed by second reading <Draft Articles on Transboundary Aquifers>.Transboundary cloud water used for artificial rainfall and snowfall, freshwaterresource in the Polar Regions owned by all human beings, wastewater recycled aremuch likely to become the focus of utilization and cooperation by every country.The fifth chapter discusses the broad fields of international cooperation ontransboundary water resources. When every country utilizes water resource at theirearly stage, they utilize the river at low rate with their primary contradiction being theproblem of delimitation. After the sailing technique is developed, riparian state freenavigation system is established in the field of transboundary water resources.Non-navigational uses with priority given to power generation have taken control sincethe early20thcentury. The major conflict now is the competition over flow distributionand hydraulic utilization. The conservation cooperation of transboundary waterresources should be the future development priority which demands that the ripariancountries jointly share and protect the transboundary water resources.The sixth and the seventh chapter are about systems. The sixth chapter introducesthe coordinative legal mechanism, which mainly includes communication of data andinformation, environmental impact assessment, joint environmental monitoring, publicparticipation, scientific research and technological development cooperation,notification and cooperation in case of emergency. It can be estimated that there arestill both contradiction and cooperation in the field of transboundary water resources inthe future. With the intensification of regional cooperation and the development ofintegration, it is obvious that cooperation will gradually play the leading role.The seventh chapter presents the legal guarantee system of internationalcooperation. Basin agreements reached and carried out by riparian countries,establishment of basin organizations, and diversified peaceful dispute settlementmechanism offer legal guarantee of international cooperation in the field oftransboundary water resources. Basin agreements and basin organizations haveretained strong features of regional cooperation. Peaceful settlement of transboundarywater resource dispute is the ultimate protection to realize international cooperation in transboundary water resources. Diversified voluntary water dispute settlements are inaccordance with the development trends in the future.The eighth chapter analyzes the status, predicament and suggestion of ourcountry’s international cooperation in transboundary water resources. It has beenpointed out in the Twelfth Five-year Plan that the emphasis will be put on thedevelopment of water power generation in Southwest China. At present, water powerdevelopment and water conservancy project in Great Mekong basin of SouthwestChina are the major disputes and conflicts China faces as an upstream country over thetransboundary water resources. This paper gives some brief suggestions. At the microlevel, water power should be developed by overcoming a series of barriers andadopting joint projects. At the meso level, regional cooperation should be intensifiedstep by step with active participation in the construction of basin agreements and basinorganization. At the macro level, more efforts should be exerted in using theinternational funds to develop transboundary water resources.The ninth chapter is the conclusion and prospect. International cooperation intransboundary water resources is widened and deepened, but still has much room forimprovement. Now the international cooperation in transboundary water resources stillfocuses on economic cooperation in water development and project construction, butinternational society still has not established effective system in terms of pollutionprevention and control, and biodiversity conservation. As a principle with vigorousvitality, the international cooperation principle in transboundary water resourcesdepends on the establishment of specific rules around the world.更多还原