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研究生:歐嘉旭
研究生(外文):Owens, Joshua
論文名稱:北冰洋若干海洋法制度與現代問題之研究
論文名稱(外文):Some Current Issues of Law of the Sea and Governance in the Arctic Ocean
指導教授:傅崐成傅崐成引用關係俞劍鴻俞劍鴻引用關係
指導教授(外文):Fu, Kuen-chenYu, Peter
口試委員:侯廣豪李彌俞劍鴻傅崐成
口試委員(外文):Hou, PatrickLee, MeeYu, PeterFu, Kuen-chen
口試日期:2012-06-07
學位類別:碩士
校院名稱:國立金門大學
系所名稱:海洋事務研究所
學門:法律學門
學類:專業法律學類
論文種類:學術論文
論文出版年:2012
畢業學年度:100
語文別:英文
論文頁數:97
中文關鍵詞:海洋法北冰洋航行自由海洋治理
外文關鍵詞:Law of the SeaArctic OceanFreedom of NavigationMaritime Governance
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本論文連結現代的海洋法及其對北冰洋的效力。 由於各國之政策不一,下文將著重分析與北冰洋沿海國有關的資料。在北冰洋仍有不少法律問題懸而未決,包括主權、航行自由、國際海洋法和國內權力的適當平衡、多邊性地實施環境保育的重要性、邊境劃界、及對北冰洋範圍之明確定義等議題。前述問題與數個尚未提及的事情敘述於下:
第一章介紹本文之結構與研究背景、方法及限制。
第二章討論白令海峽之法律地位。此一關鍵海峽位於俄羅斯及美國交界帶,且這兩大世界強權曾有過明爭暗鬥的外交關係。在某種程度上,藉由審視白令海峽的航行自由衝突能更深入地瞭解整個北冰洋及其他各大洋的相關問題。並對海洋法的相關條文與沿海國的實踐及其政策做詳細討論。本文研究結果認為此海峽該視為一個用於國際航行的海峽,並提供建議以達成一個公平、公正、可持續的北冰洋管理結構之目標。
第三章將徹底探討北冰洋是否具有聯合國海洋法公約所頒布之閉海與半閉海之要件,並針對北冰洋的地理特性詳加描述與分析,接著與其他早已執行本管理制度之地區進行較。本章將討論該管理制度的性質及能否應用它在北冰洋上。本研究認為北冰洋不完全符合此定義,故不能直接適用,但仍能建立一套相似的管理制度。
第四章旨在北冰洋的大陸礁層與「區域」間的邊境劃界議題。「區域」為一誕生於聯合國海洋法公約下的概念,係指所有位於國家管轄範圍之外的領域,任何國家不應對「區域」的任何部分或其資源主張或行使主權或主權權利,其資源屬於全人類所共有;因此,務必要防止沿海國對大陸礁層的過度主張,此即為聯合國大陸礁層界線委員會的任務。本章將討論與分析北冰洋沿海國所提交的大陸礁層劃界案,並評估有無侵犯到北冰洋「區域」的可能性。最後針對迄今仍存在的北冰洋邊境衝突提出建議,以促其迅速解決。
第五章介紹北冰洋環境保育的基礎概念與當代問題。首先探討聯合國海洋法公約中唯一針對冰封區域的條文之作用及應用。其後詳述北極委員會之沿革與現有政治上及管理上的功能,以得到全面的理解,並探討北極原住民之權利與目前所面臨的問題。
最後第六章將本論文內容做出統整與結論,展望北冰洋在未來可能會出現的治理性質及提供數個相關建議。
The present collection focuses on modern-day law of the sea as it applies in the Arctic. Due to the variety in state practice, the views and actions of circumpolar states will constitute the bulk of information analyzed. There are many legal issues yet to be resolved, including discussions on sovereignty, freedom of navigation, the balance of international law of the sea with national authority, the desirability and necessity of multilateral approaches to environmental protection, border delimitation, even the very definition of the Arctic itself remains nebulous. These and many others will be touched upon in the text, however the following will be examined in greater detail in the succeeding chapters:
Following a brief introduction in Part One, Part Two examines the legal status of the Bering Strait. This vital channel lies between Russia and the United States, two world powers with a bumpy diplomatic history. It is in some ways a microcosm of the greater question of freedom navigation in both the Arctic and other oceans. The relevant provisions of the law of the sea are discussed in detail, alongside descriptions of the two littoral states’ policies. The conclusion is drawn that the Strait constitutes a strait used for international navigation, and recommendations are offered for achieving equitable and sustainable governance therein.
Part Three addresses the issue of whether the Arctic may be considered an enclosed or semi-enclosed sea, as defined by the United Nations Convention on the Law of the Sea (UNCLOS). The geographical characteristics are presented and analyzed, then compared with other regions already functioning under the regime of enclosed or semi-enclosed seas. The particulars of this regime and its suitability to the Arctic are examined, resulting in the evaluation that the Arctic meets said definition and may be managed accordingly.
Part Four revolves around continental shelf delimitation in the Arctic. The Area, which according to UNCLOS consists of areas beyond the reach of national jurisdiction, belongs to all of mankind. Therefore excessive national claims to tracts of continental shelf must be curtailed to the greatest extent possible. This is the primary responsibility of the United Nations-sanctioned Commission on the Limits of the Continental Shelf. Submissions by the circumpolar states regarding continental shelf claims in the Arctic are considered, and the likelihood of encroachment on the Area is assessed. Recommendations are presented for expeditious resolution of remaining Arctic border disputes.
Part Five delves into the foundations and exigencies of environmental protection in the Arctic. The role and application of the sole UNCLOS provision relating particularly to ice-covered areas are scrutinized; the history as well as current political and regulatory functions of the Arctic Council are examined in detail. For a well-rounded understanding, the rights and concerns of indigenous Arctic peoples are also discussed. Lastly, Part Six closes with a comprehensive conclusion and words on the future of Arctic governance.
Table of Contents
摘要 ii
Abstract iii
Foreword iv
Acknowledgements v
Table of Contents vi
List of Maps and Images viii

Chapter One: Introduction 1
Research Background 1
Research Objectives 2
Research Scope and Methods 2
Research Limitations 2

Chapter Two: The Legal Status of the Bering Strait 4
Introduction 4
The Bering Strait and International Law of the Sea 5
Geographical Considerations and their Legal Implications 5
Shipping Viability 6
The Regime of Straits Used for International Navigation (SUFINs) 9
The Applicability of the SUFINs Regime to the Bering Strait 12
America’s and Russia’s Legal Postures 12
Russia 13
America 16
Some Suggestions for Future Bering Strait Administration 18
Conclusion 21
Figures and Maps 22

Chapter Three: Enclosed and Semi-Enclosed Seas: Does the Arctic Count? 28
Introduction 28
UNCLOS negotiations on Enclosed and Semi-Enclosed Seas 28
Post-UNCLOS State Practice 32
Seas and Oceans 35
A Semi-Enclosed Sea in the Arctic? 36
On the Desirability of Forming an ESESs-like System in the Arctic 38
Conclusion 39

Chapter Four: Delimitation of Outer Continental Shelves in the Arctic 40
Introduction 40
Background and Methods 40
The CLCS 47
Circumpolar OCS: A Tug-o’-War? 52
Russia 52
Norway 55
Other Circumpolar Submissions 67
A Note on Inter-state Boundary Delimitations 67
Conclusion 68

Chapter Five: Environmental Protection in the Arctic 70
Introduction 70
Article 234 of UNCLOS 73
The Arctic Council 75
Indigenous Rights 79
Concluding Remarks 81

Chapter Six: Conclusion 83
List of References 86
Books 86
Journals, Chapters, Conferences and Papers 87
Websites and News Articles 93
Treaties, Agreements, Reports, Resolutions, Statements, Cases etc. 95

Books

Anaya, S. James, Indigenous Peoples in International Law (Oxford Uni. Press: 1996).

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Leifer, Michael, Malacca, Singapore and Indonesia (Sijthoff and Noordhoff: 1978).

López Martín, Ana G., International Straits: Concept, Classification and Rules of Passage (Springer: 2010).

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Roach, Ashley J. and Smith, Robert W., United States Responses to Excessive Maritime Claims, 2nd ed. (Martinus Nijhoff: 1996)

Wang Ze-Lin, “Research on the Legal Status of Arctic Passage,” Doctoral Thesis, Xiamen University (2011).



Journals, Chapters, Conferences and Papers

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Betsy Baker, Conference, International Arctic Change and the Law and Politics of the Arctic Ocean Seabed, “Filling an Arctic Gap: Legal and Regulatory Possibilities for Canadian-U.S. Cooperation in the Beaufort Sea,” 34 Vt. L. Rev. 57 (2009).

Baker, Betsy, Symposium, Russia and the Rule of Law: New Opportunities in Domestic and International Affairs, “Law, Science, and the Continental Shelf: Russia and the Promise of Arctic Cooperation,” 25 Am. U. Int’l L. Rev. 251 (2010).

Bang, Ho-Sam, “Is Port-State Control an Effective Means to Combat Vessel-Source Pollution? An Empirical Survey of the Practical Exercise by Port States of Their Powers of Control,” 23 Int’l J. Mar. & Coastal L. 715 (2008).

Bateman, Sam and Schofield, Clive, Conference Paper, “State Practice Regarding Straight Baselines in East Asia: Legal, Technical and Political Issues in a Changing Environment,” presented at Difficulties in Implementing the Provisions of UNCLOS (Monaco, 2008), unpaginated. Available at http://www.gmat.unsw.edu.au/ablos/ABLOS08Folder/Session7-Paper1-Bateman.pdf. Accessed 2 Dec 2011.

Bates, Candace, Comment, “U.S. Ratification of the U.N. Convention on the Law of the Sea: Passive Acceptance Is Not Enough to Protect U.S. Property Interests,” 31 N.C.J. Int’l L. & Com. Reg. 745 (2006).

Becker, Michael A., Symposium: Russia and the Rule of Law: New Opportunities in Domestic and International Affairs, “Russia and the Arctic: Opportunities for Engagement Within the Existing Legal Framework,” 25 Am. U. Int’l L. Rev. 225
(2010).

Bravo, Michael and Rees, Gareth, “Cryo-Politics: Environmental Security and the Future of Arctic Navigation,” 13 Brown J. World Affairs 205 (2006).

Brigham, Lawson W., “The Fast-Changing Maritime Arctic,” Proceedings, U.S. Naval Institute, Annapolis, Maryland (2010). Available at https://www.princeton.edu/lisd/events/talks/brigham_may2010.pdf. Accessed 12 Oct 2011.

Cavnar, Anna, “Accountability and the Commission on the Limits of the Continental Shelf: Deciding Who Owns the Ocean Floor,” 42 Cornell Int’l L. J. 387 (2009).

Chircop, Aldo, “The Growth of International Shipping in the Arctic: Is a Regulatory Review Timely?” 24 Int’l J. Mar. & Coastal L. 355 (2009).

Clote, Parker, Comment, “Implications of Global Warming on State Sovereignty and Arctic Resources under the United Nations Convention on the Law of the Sea: How the Arctic Is No Longer Communis Omnium Naturali Jure,” 8 Rich. J. Global L. & Bus. 195 (2008).

Cohen, Ariel, “From Russian Competition to Natural Resources Access: Recasting U.S. Arctic Policy,” Backgrounder No. 2421, Heritage Foundation (2010). Available at http://thf_media.s3.amazonaws.com/2010/pdf/bg2421.pdf. Accessed 12 Oct 2011.

Cohen, Ariel, “Russia and the Arctic: Challenges to US Energy and Geopolitics in the High North,” in Russia in the Arctic, Stephen Blank, ed. (SSI: 2011), 1-42.

Colson, David A., Note and Comment, “The Delimitation of the Outer Continental Shelf between Neighboring States,” 97 AJIL 91 (2003).

Elferink, Alex Oude, “The Time Limit for Making Submissions to the Commission on the Limits of the Continental Shelf—the Current State of Affairs,” 23 Int’l J. Mar. & Coastal L. 769 (2008).

Elliot-Meisel, Elizabeth, “Politics, Pride, and Precedent: The United States and Canada in the Northwest Passage,” 40 Ocean Dev. & Int’l L. 204 (2009).

Franckx, Erik, “Should the Law Governing Maritime Areas in the Arctic Adjust to Changing Climatic Circumstances?” 41 Cal. W. Int’l L.J. 397 (2010).

Franckx, Erik, “The Legal Regime of Navigation in the Russian Arctic,” 18 J. Transnat’l L. & Pol’y 327 (2009).

Gau, Michael Sheng-ti, “The Commission on the Limits of the Continental Shelf as a Mechanism to Prevent Encroachment on the Area,” 10 Chin. J. Int’l L. 3 (2011).

Golitsyn, Vladimir, ““Continental Shelf Claims in the Arctic Ocean: A Commentary,” 24 Int’l J. Mar. & Coastal L. 401 (2009).

Gordy, Kimberly, “Dire Straits: The Necessity for Canadian Sovereignty in the Arctic Waterways,” 20 Fordham Envtl. L.R. 551 (2010).

Górski, Tomasz , “A Note on Submarine Ridges and Elevations with Special Reference to the Russian Federation and the Arctic Ridges,” 40 Ocean Dev. & Int’l L. 51 (2009).

Ho, Joshua H., “Enhancing Safety, Security, and Environmental Protection of the Straits of Malacca and Singapore: The Cooperative Mechanism,” 40 Ocean Dev. & Int’l L. 233 (2009).

Huebert, Rob, “Canada and the Newly Emerging International Arctic Security Regime,” in Arctic Security in An Age of Climage Change, ed. James Kraska (Cambridge Uni. Press: 2011).

Jares, Vladimir, Symposium, Mounting Tension and Melting Ice: Exploring the Legal and Political Future of the Arctic, “The Continental Shelf Beyond 200 Nautical Miles: The Work of the Commission on the Limits of the Continental Shelf and the Arctic,” 42 Vand. J. Transnat’l L. 1265 (2009).

Jensen, Øystein, “The IMO Guidelines for Ships Operating in Arctic Ice-covered Waters: From Voluntary to Mandatory Tool for Navigation Safety and Environmental Protection?” Fridtjof Nansen Institute (2007), at 23-24. Available at http://www.fni.no/doc&pdf/FNI-R0207.pdf; accessed 04 Nov 2011.

Joyner, Christopher, “The Legal Regime for the Arctic Ocean,” 18 J. Transnat’l L. & Pol’y 195 (2009).

Joyner, Christopher, “United States and the New Law of the Sea,” 27 Ocean Dev. & Int’l L. 41 (1996).

Kennair, John, Conference: International Arctic Change and the Law and Politics of the Arctic Ocean Seabed, “An Inconsistent Truth: Canadian Foreign Policy and the Northwest Passage,” 34 Vt. L. Rev. 15 (2009).

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Kolcz-Ryan, Marta, Comment, “An Arctic Race: How the United States' Failure to Ratify the Law of the Sea Convention Could Adversely Affect Its Interests in the Arctic,” 35 Dayton L. Rev. 149 (2009).

Kraska, James, Symposium: Mounting Tension and Melting Ice: Exploring the Legal and Political Future of the Arctic, “International Security and International Law in the Northwest Passage,” 42 Vand. J. Transnat’l L. 1109 (2009).

Kunoy, Bjørn, “Disputed Areas and the 10-Year Time Frame: A Legal Lacuna?” 41 Ocean Dev. & Int’l L. 112 (2010).

Logaraj, Nadaisan, “Navigational Safety, Oil Pollution and Passage in the Straits of Malacca,” 20 Mal. L.R. (1978).

Macneill, Christopher Mark, “Gaining Command and Control of the Northwest Passage: Strait Talk on Sovereignty,” 34 Transp. L. J. 355 (2007).

McNab, Ron, ““The Case for Transparency in the Delimitation of the Outer Continental Shelf in Accordance with UNCLOS Article 76,” 35 Ocean Dev. & Int’l L. 1 (2003).

McDorman, Ted, Conference, Arctic Sovereignty: Cold Facts, Hot Issues, “Canada-United States Bilateral Ocean Law Relations in the Arctic,” 15 Sw. J. Int’l L. 283 (2009).

McDorman, Ted, “The Continental Shelf Beyond 200 NM: Law and Politics in the Arctic Ocean,” 18 J. Transnat’l L. & Pol’y 155 (2009).

McDorman, Ted, “The Role of the Commission on the Limits of the Continental Shelf: A Technical Body in a Political World,” 17 Int’l J. Marine & Coastal L. 301 (2002).

Molenaar, E.J., “Arctic Marine Shipping: Overview of the International Legal Framework, Gaps, and Options,” 18 J. Transnat’l L. & Pol’y 289 (2009).

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Oliver, John T., ““Implications of U.S. Acceptance of the 1982 Law of the Sea Convention and the 1994 Agreement: National Security and the U.N. Convention on the Law of the Sea: U.S. Coast Guard Perspectives,” 15 ILSA J. Int’l & Comp. L. 573 (2009).

Owens, Joshua, “Enclosed and Semi-Enclosed Seas: A Glimpse at State Practice with Special Regard to the Arctic,” China Oceans Law Review (forthcoming).

Ragner, Claes Lykke, ““Den norra sjövägen,” in Barents – ett gränsland i Norden, Torsten Hallbeg ed., Stockholm, Arena Norden, 2008, pp. 114-127. [English translation unpaginated, available at http://www.fni.no/doc&pdf/clr-norden-nsr-en.pdf. Accessed 16 Oct 2011.

Reichert, Christian, “Determination of the Outer Continental Shelf Limits and the Role of the Commission on the Limits of the Continental Shelf,” 24 Int’l J. Mar. & Coastal L. 387 (2009).

Ristroph, Elizabeth Barrett, “Alaska Tribes’ Melting Subsistence Rights,” 1 Ariz. J. Envt’l L. & Pol’y 47 (2010), at 67-75.

Roston, Matt, Note and Comment, “The Northwest Passage’s Emergence as an International Highway,” 15 Sw. J. Int’l L. 449 (2009).

Rothwell, Donald, “Arctic Choke Points and the Law of the Sea,” ANU College of Law Research Paper No. 10-81 (2010).

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Schachte, William, ““International Straits and Navigational Freedoms,” Remarks prepared for presentation to the 26th Law of the Sea Institute Annual Conference Genoa, Italy, 1992. Available at http://www.state.gov/documents/organization/65946.pdf. Accessed 30 Nov 2011.

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Websites and News Articles

“Arctic Council Leaders Sign Rescue Treaty.” CBC News, May 12, 2011. Available at http://www.cbc.ca/news/canada/north/story/2011/05/12/arctic-council-greenland.html. Accessed 26 Feb 2012.

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McNutt, Lynn, “How Does Ice Cover in the Bering Sea Vary from Year to Year?” National Oceanic and Atmospheric Association (NOAA), Bering Climate Essay, undated and unpaginated. Available at http://www.beringclimate.noaa.gov/essays_mcnutt.html. Accessed 02 Nov 2011.

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“Secretary Clinton Signs the Arctic Search and Rescue Agreement with other Arctic Nations,” US State Department Fact Sheet, May 12, 2011. Available at http://www.state.gov/r/pa/prs/ps/2011/05/163285.htm. Accessed 26 Feb 2012.

Suppiah, Rakish, “The Northeast Arctic Passage: possibilities and economic considerations,” MarStudies 32; 151 Maritime Studies 12 (2006). Available at http://www.austlii.edu.au/au/journals/MarStudies/2006/32.html. Accessed 12 Oct 2011.

Valencia, Mark, “US Hypocrisy in the Strait of Hormuz?” Nautilus Institute, Policy Forum Online 08-013A (Feb 2008), unpaginated. Available at http://www.nautilus.org/publications/essays/napsnet/forum/security/08013Valencia.html. Accessed 12 Oct 2011.

Wapshott, Nicholas, “Strife Looms between America, Canada over Route.” N.Y. Sun, Oct. 11, 2007, available at http://www.nysun.com/foreign/strife-looms-between-america-canada-over-route/64337/. Accessed 12 Oct 2011.

World Atlas: Bering Strait. Available at http://www.worldatlas.com/aatlas/infopage/bering.htm. Accessed 11 Oct 2011.




Treaties, Agreements, Reports, Resolutions, Statements, Cases etc.

1973 Agreement on the Conservation of Polar Bears, 13 ILM 13-18 (1974).

1989 Agreement between the Government of the United States of America and the Government of the Union of Soviet Socialist Republics concerning Cooperation in Combating Pollution in the Bering and Chukchi Seas in Emergency Situations, 2190 U.N.T.S. 180.

1990 Agreement between the United States of America and the Union of Soviet Socialist Republics on the Maritime Boundary, 1 June 1990, 21 I.L.M. 941.

1994 Agreement Relating to the Implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982, July 28, 1994, 1836 U.N.T.S. 3.

1996 Ottawa Declaration on the Establishment of the Arctic Council, available at library.arcticportal.org/1541/. Accessed 12 June 2012.

2011 Agreement on Cooperation on Aeronautical and Maritime and Maritime Search and Rescue in the Arctic, Nuuk (Greenland). Available at arctic-council.npolar.no/en/meetings/2011-nuuk-ministerial/docs. Accessed 13 June 2012.

Arctic Climate Impact Assessment: Scientific Report (Cambridge: 2005). Available at http://www.acia.uaf.edu. Accessed 26 Feb 2012.

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