【作者】 于海涛；

【导师】 薛桂芳；

【作者基本信息】 中国海洋大学 ， 海洋资源与权益综合管理， 2015， 博士

【摘要】 随着海洋环境问题的恶化与全球化,全球海洋环境保护合作得到广泛的重视。同时通过缔结区域海洋环境保护条约这样低敏感度领域的工作,有助于增进国家间海洋事务交流、解决海上领土争议。自冷战结束以来,西北太平洋区域沿岸各国经济得到快速发展,目前已成为世界经济增长最快的地区之一。但伴随着经济的快速发展,区域海洋环境问题也日益严重,各国借助双边、多边、国际组织的参与展开了一系列的海洋环境保护合作,但该区域的海洋环境治理成效却令人堪忧。首先对区域海洋环境保护国际合作的概念及理论基础进行阐述。基本概念界定中包括海洋环境污染、海洋环境保护的义务、区域以及国际合作。由于论文从法律与管理学两个角度进行分析,因此,分别对国际法视角和治理理论视角的理论基础作出解释。然后从全球和区域两个层面梳理全球海洋环境保护合作实践,从历史的角度深化对于全球和区域层面国家间海洋环境保护合作的认知。区域内的利益格局是探讨区域海洋环境合作的重要基础,相对于其他区域而言,西北太平洋区域的利益格局较为复杂,是制约海洋环境合作深入的重要变量,因此基于西北太平洋区域地理环境特点、地缘政治状况、领土领海争议分析了西北太平洋区域海洋环境和利益格局特点。然后对西北太平洋区域的海洋环境合作框架从双边、多边两个角度进行梳理,可以看出西北太平洋区域环境合作既受政治、经济等多重利益因素影响,又具有非约束性合作的特点。通过对欧洲周边海域环境合作模式和西北太平洋区域海洋环境合作机制进行比较分析,探寻在西北太平洋区域存在双边、多边国际合作不断加强的同时,为什么区域内海洋环境治理成效却不尽如人意,以期为西北太平洋区域海洋环境合作的完善给出建议。地中海模式和波罗的海模式的经验告诉我们,海洋环境的基础性利益可以超越政治利益上的分歧。西北太平洋区域海洋环境治理基于西北太平洋行动计划(NOWPAP)和黄海项目(YSLME)两个专项合作机制展开,西北太平洋行动计划作为一个伞形机制来解决西北太平洋区域的海洋环境问题在早期有很大潜力,但有限的成果表明它在制度结构、资金机制、国内政策协调方面仍存在很多问题。黄海项目有限的地理管辖范围决定它难以为成为该区域的主导机制。最关键的是,与欧洲成熟的制度化合作模式不同,西北太平洋区域利益格局特点决定该区域签订约束性法律规范比较困难。最后回归论文的理论基础,从国际法和治理理论两个视角进行对策分析。完善对策也基于法律与管理两个维度提出,意图通过法律的强制性与政治规范的灵活性结合达到一种体制创新。这种创新不是简单的借鉴欧洲周边海域模式,而是构建具有区域特色的“西北太模式”。“西北太模式”的构建要基于双重规范的应用,同时在制度推进过程中,要渐进拓展合作范围。从国际法视角来看,要在区域内已经制定的《西北太平洋行动计划区域有害物质和溢油应急计划》的基础上推进有法律约束力的区域应急条约的签署,实现从“软法”向“硬法”的过渡。治理理论视角的分析通过借鉴治理理论,从治理结构和治理过程两个角度找出有助于推进良好治理效能达成的要素,最后根据这个理论架构,为西北太平洋区域海洋环境合作的改进提出具体措施,主要在四个层面进行完善：(1)完善合作机制的制度保障,包括确保财政稳定性和加强区域机制间协调；(2)拓展多元主体参与合作,合理分配各治理主体权威：(3)构建西北太平洋区域环境合作认知网络,路径则通过打破“政治型界墙”以追求共同利益和建立由认知共同体组成的科学网络达成；(4)优化国内层面体制和能力建设。更多还原

【Abstract】 With the deterioration of the marine environment and globalization, the global marine environmental protection cooperation has been widely appreciated. The regional marine environmental protection treaty is such a low sensitivity in the field of ocean affairs, helps to promote exchanges among countries to resolve maritime territorial disputes. Since the end of the Cold War, the countries which make border with the Northwest Pacific region, have become one of the world fastest growing economies without caring about the marine environment. All countries involved through bilateral, multilateral and international organizations launched a series of cooperation in marine environmental protection but the effectiveness of governance in the region is alarming.First, to build the basis of international cooperation through theoretical concept in the areas of marine environmental protection. Define the basic concepts including marine pollution, marine environmental protection obligations, regional and international cooperation. This study is based on law and management perspectives, what are leading to international law and governance. It shows the international marine environmental protection cooperation practices on both global and regional levels in order to deepen the understanding of cooperation in marine environmental protection.The different interests within the region are important factors during the examination of cooperation in marine environment protection. Compared to other regions, interests are more complicated in the Northwest Pacific area which confines depth cooperation. This thesis investigates the main reasons of the different interests with a special focus on the geographical, geopolitical factors and maritime territorial disputes. Then it combs the marine environmental cooperation framework of the Northwest Pacific region from bilateral and multilateral aspects, it can be seen that the Northwest Pacific regional environmental cooperation also has the characteristics of a non-binding cooperation in the region.The thesis comparatively analyzes the regional environmental cooperation models and mechanisms between the Northwest Pacific region and the European regional seas, in order to find why the effectiveness of governance in the Northwest Pacific region is not effective under the existence of bilateral and multilateral cooperation which has been strengthened these years. Experiences of the Mediterranean and Baltic models tell us that the basic interests of marine environmental protection can transcend different political interests among countries. The Northwest Pacific regional marine environmental governance based on the two special cooperation projects, which are the following:Northwest Pacific Action Plan (NOWPAP) and the Yellow Sea Project (YSLME). In the beginning of NOWPAP, as an umbrella mechanism, had a great potential in solving the marine environmental problems in the Northwest Pacific region. But the limited achievements testify the problems in institutional structure, funding mechanism and the coordination at national level. Because of the limited geographic jurisdiction of the YSLME, it hardly could become a dominant mechanism in the region. Due to different regional interests,-which are unlike the mature of European regional cooperation models-it is very hard to sign a legal binding treaty in the Northwest Pacific region.The theoretical basis of international law and governance are two perspectives which give countermeasures. Advices are also based on these two dimensions, through the strict legislations combined with the flexible governing methods institutional innovation can be achieved. This innovation is not simply uses the experience of European models as a reference, but it builds on regional characteristics of "Northwest Pacific Model". The construction of the "Northwest Pacific Model" is based on the above-mentioned double standard, to expand the scope of cooperation gradually during the implementation of the process. From the perspective of international law, the "Northwest Pacific Action Plan Regional Hazardous Substances and Oil Spill Response Plan" needed to be changed from "soft law" to "hard law". From the perspective of governance, apply governance theory to build theoretical framework through the analysis of governance structure and governance process. Finally, according to the theoretical framework for the improvement of regional cooperation in the Northwest Pacific proposed specific measures, mainly in the four levels:(1) to improve the cooperation mechanism, including ensuring financial stability and strengthening inter-regional coordination mechanism; (2) to expand the participation of multiple subjects, a reasonable allocation of each governance authority; (3) the establishment of the Northwest Pacific regional environmental cooperation cognitive network through breaking "Political walls" and pursuing of common interests by building a network of cognitive science community; (4) to optimize the domestic institutional and capacity building level.更多还原