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題名 論國際法與國際關係之互動：以 2016年中菲南海仲裁案地緣政治之影響為例
The Implications of the 2016 Arbitration on Geopolitics in the South China Sea: the Interaction Between International Law and International Relations
作者 宋高祖
Soong, Claus
貢獻者 陳貞如
Chen, Chen-Ju
宋高祖
Claus Soong
關鍵詞 南海仲裁案
中美關係
菲律賓
越南
聯合國海洋法公約
2016 South China Sea Arbitration
China-U.S. Relations
Philippines
Vietnam
UNCLOS
日期 2020
上傳時間 2-Mar-2021 14:35:21 (UTC+8)
摘要 本文主張，二零一六中菲南海仲裁案就南海問題法制化並海洋法公約一二一條三款的解釋不單為中菲兩國，也同時為其他聲索國在南海的紛爭提供了清晰的法律基礎。本文認為，仲裁案就海洋法公約的解釋構成了某種意義上的軟法，並為海洋法公約架構下南海相關以及其他未來類似案例提供指引。政治意義上而言，仲裁案為觀察國際法如何影響國際關係，特別是像中國與國際規範體系、東協與區域整合、中美關係惡化下的對峙等議題提供了新的視角。在區域層級上，藉由中國在仲裁結果公布後與東協成員國進行南海行為準則（CoC）協商而觀，仲裁案確有促進區域協調合作之效果，形成軟法以避免各相關國之間產生進一步衝突的可能。惟就此項趨勢而言，因中國以制度主義的方式實踐其現實主義下零和性的擴張式國家利益，南海行為準則此一規範之形成，實際上更加是往國際法律秩序碎片化的方向發展。對於菲律賓與越南而言，由仲裁案所帶來的法律解釋和澄清的海洋權利使得同北京的談判有更多籌碼。同時，美國在區域中的存在對於規模較小的聲索國面對中國時非常重要。但河內與馬尼拉也擔心對於華盛頓對南海區域秩序中是否有足夠的意願做出承諾，且是否願意支持其盟友對抗中國的擴張性行為。
This thesis argued that by clarifying the Article 121(3) of UNCLOS, the 2016 South China Sea Arbitration provided a clear legal basis on the disputes that exist not just between China and the Philippines but also among other claimant states through the legalization of the South China Sea. The interpretations made by the Arbitration constitute a kind of soft law, which has influence within the framework of UNCLOS and provides guidance for future decisions beyond disputes in the South China Sea. Politically, the Arbitration offered a new dimension to observe how international law can shape the development of international relations, especially in issues areas such as China and the international rule-based system, ASEAN and regionalization, and the confrontations under worsening US–China relations. At the regional level, through Chinese behaviors and its negotiation with ASEAN on the development of the CoC, the Arbitration did foster regional coordination to cooperate on soft law to avoid further conflict among states. However, such development has seemed to lead toward fragmentation of the international legal order as China is using the means of institutionalism to realize its expansive national interest in a realist zero-sum sense. For Vietnam and Philippines, the leverage supplied by the Arbitration has provided a higher bargaining margin when negotiating with Beijing. Also, the US presence in the region is important for the smaller claimant states when facing China. However, Manila and Hanoi are concerned on how the United States would position itself in the region, how committed Washington is to the regional order, and how willing it is to support its allies to confront China’s expansive behaviors.
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Hoang, Thi Ha, “Pitfalls for ASEAN in Negotiating a Code of Conduct in the South China Sea,” Perspective No. 57, Researchers at Iseas–Yusof Ishak Institute Analyse Current Events, July 23, 2019.
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International Treaties/Conventions and Cases
Convention on the Law of the Sea, December 10, 1982, 1833 U.N.T.S. 397. 
Eritrea v Yemen, Award on Territorial Sovereignty and Scope of the Dispute, (1998) XXII RIAA 211, (1999) 119 ILR 1, (2001) 40 ILM 900, ICGJ 379 (PCA 1998), October 9, 1998, Permanent Court of Arbitration.
South China Sea Arbitration, Philippines v China, Award, PCA Case No 2013-19, ICGJ 495 (PCA 2016), July 12, 2016, Permanent Court of Arbitration.
描述 碩士
國立政治大學
法律學系
104651014
資料來源 http://thesis.lib.nccu.edu.tw/record/#G0104651014
資料類型 thesis
dc.contributor.advisor 陳貞如zh_TW
dc.contributor.advisor Chen, Chen-Juen_US
dc.contributor.author (Authors) 宋高祖zh_TW
dc.contributor.author (Authors) Claus Soongen_US
dc.creator (作者) 宋高祖zh_TW
dc.creator (作者) Soong, Clausen_US
dc.date (日期) 2020en_US
dc.date.accessioned 2-Mar-2021 14:35:21 (UTC+8)-
dc.date.available 2-Mar-2021 14:35:21 (UTC+8)-
dc.date.issued (上傳時間) 2-Mar-2021 14:35:21 (UTC+8)-
dc.identifier (Other Identifiers) G0104651014en_US
dc.identifier.uri (URI) http://nccur.lib.nccu.edu.tw/handle/140.119/134095-
dc.description (描述) 碩士zh_TW
dc.description (描述) 國立政治大學zh_TW
dc.description (描述) 法律學系zh_TW
dc.description (描述) 104651014zh_TW
dc.description.abstract (摘要) 本文主張，二零一六中菲南海仲裁案就南海問題法制化並海洋法公約一二一條三款的解釋不單為中菲兩國，也同時為其他聲索國在南海的紛爭提供了清晰的法律基礎。本文認為，仲裁案就海洋法公約的解釋構成了某種意義上的軟法，並為海洋法公約架構下南海相關以及其他未來類似案例提供指引。政治意義上而言，仲裁案為觀察國際法如何影響國際關係，特別是像中國與國際規範體系、東協與區域整合、中美關係惡化下的對峙等議題提供了新的視角。在區域層級上，藉由中國在仲裁結果公布後與東協成員國進行南海行為準則（CoC）協商而觀，仲裁案確有促進區域協調合作之效果，形成軟法以避免各相關國之間產生進一步衝突的可能。惟就此項趨勢而言，因中國以制度主義的方式實踐其現實主義下零和性的擴張式國家利益，南海行為準則此一規範之形成，實際上更加是往國際法律秩序碎片化的方向發展。對於菲律賓與越南而言，由仲裁案所帶來的法律解釋和澄清的海洋權利使得同北京的談判有更多籌碼。同時，美國在區域中的存在對於規模較小的聲索國面對中國時非常重要。但河內與馬尼拉也擔心對於華盛頓對南海區域秩序中是否有足夠的意願做出承諾，且是否願意支持其盟友對抗中國的擴張性行為。zh_TW
dc.description.abstract (摘要) This thesis argued that by clarifying the Article 121(3) of UNCLOS, the 2016 South China Sea Arbitration provided a clear legal basis on the disputes that exist not just between China and the Philippines but also among other claimant states through the legalization of the South China Sea. The interpretations made by the Arbitration constitute a kind of soft law, which has influence within the framework of UNCLOS and provides guidance for future decisions beyond disputes in the South China Sea. Politically, the Arbitration offered a new dimension to observe how international law can shape the development of international relations, especially in issues areas such as China and the international rule-based system, ASEAN and regionalization, and the confrontations under worsening US–China relations. At the regional level, through Chinese behaviors and its negotiation with ASEAN on the development of the CoC, the Arbitration did foster regional coordination to cooperate on soft law to avoid further conflict among states. However, such development has seemed to lead toward fragmentation of the international legal order as China is using the means of institutionalism to realize its expansive national interest in a realist zero-sum sense. For Vietnam and Philippines, the leverage supplied by the Arbitration has provided a higher bargaining margin when negotiating with Beijing. Also, the US presence in the region is important for the smaller claimant states when facing China. However, Manila and Hanoi are concerned on how the United States would position itself in the region, how committed Washington is to the regional order, and how willing it is to support its allies to confront China’s expansive behaviors.en_US
dc.description.tableofcontents List of Figures and Table vi

Acknowledgements vii

Abstract ix

Abstract in Chinese x

Chapter 1: Introduction 1

1. Main Questions and the Geographic Scope of Research 4

2. Geopolitics in the South China Sea under US–China Competition 9

3. Legalization: How Does the Interaction Between IL and IR Work? 12

4. The IL and IR Approach, Methodology, and Framework 15

Chapter 2: International Law under International Relations Perspectives 19

1. Realism and Anarchy 21

2. Liberalism, Institutionalist Perspective, and Global Governance 25

3. Constructivist Approach 31

4. UNCLOS As an International Regime 35

Chapter 3: The China-US Relations and the South China Sea 39

1. China-US Relations and the New Cold War 42

2. China’s Grand Strategy Under Xi-Jinping 49

3. The US Hegemonic Position and its Grand Strategy on China 54

4. China-US Competition in the South China Sea 61

Chapter 4: Background and History of the 2016 Arbitration 65

1. Overview of the South China Sea Dispute 66

2. The Arbitration and Its Aftermath 69

3. Territorial Disputes and Marine Claims in the South China Sea 72

Chapter 5: Selected Issues of the Arbitration 77

1. The Nine-Dash Line 77

2. The Regime of Islands 82

3. The Effectiveness of the Arbitration 86

Chapter 6: Arbitration and the Reshaped Interests of Claimant States 97

1. Legal Interests 98

2. Political Interests 103

Chapter 7: Geopolitical Impacts and Developments after the Arbitration 117

1. Policy Options of Claimant States 118

2. ASEAN’s Coordination and the Development of the CoC 125

Chapter 8: Conclusion 132

Appendix 139

Appendix 1: Interview with Mr. Nguyễn Thế Phương 139

Appendix 2: Interview with Dr. Jay Batongbacal 142

Bibliography 146		zh_TW
dc.format.extent 2414340 bytes-
dc.format.mimetype application/pdf-
dc.source.uri (資料來源) http://thesis.lib.nccu.edu.tw/record/#G0104651014en_US
dc.subject (關鍵詞) 南海仲裁案zh_TW
dc.subject (關鍵詞) 中美關係zh_TW
dc.subject (關鍵詞) 菲律賓zh_TW
dc.subject (關鍵詞) 越南zh_TW
dc.subject (關鍵詞) 聯合國海洋法公約zh_TW
dc.subject (關鍵詞) 2016 South China Sea Arbitrationen_US
dc.subject (關鍵詞) China-U.S. Relationsen_US
dc.subject (關鍵詞) Philippinesen_US
dc.subject (關鍵詞) Vietnamen_US
dc.subject (關鍵詞) UNCLOSen_US
dc.title (題名) 論國際法與國際關係之互動：以 2016年中菲南海仲裁案地緣政治之影響為例zh_TW
dc.title (題名) The Implications of the 2016 Arbitration on Geopolitics in the South China Sea: the Interaction Between International Law and International Relationsen_US
dc.type (資料類型) thesisen_US
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Huong, Huong Thu. “Vietnam Manages Delicate Balance between US and China.” Nikkei Asian Review, November 14, 2017, asia.nikkei.com/Spotlight/Trump-s-Asian-visit/Vietnam-manages-delicate-balance-between-US-and-China.
Jennings, Ralph. “China Seen Holding Off Expansion in Disputed Sea Due to Closer Philippine Ties.” Voice of America, August 25, 2019, www.voanews.com/east-asia-pacific/china-seen-holding-expansion-disputed-sea-due-closer-philippine-ties.
Jennings, Ralph. “How Vietnam Quietly Built Up 10 Islands in Asia’s Most Disputed Sea.” Voice of America, April 19, 2019, www.voanews.com/east-asia-pacific/how-vietnam-quietly-built-10-islands-asias-most-disputed-sea.
Jennings, Ralph. “Philippine Trust in China Drops over South China Sea Activity.” Voice of America English News, August 25, 2019, learningenglish.voanews.com/a/philippine-trust-in-china-drops-over-south-china-sea-activity/5051752.html.
Khmer Times. “Cambodia and Myanmar in Joint Stand on South China Sea Dispute.” Khmer Times, July 4, 2016, www.khmertimeskh.com/25448/cambodia-and-myanmar-in-joint-stand-on-south-china-sea-dispute/.
Lewis , Mark. “Norway`s Salmon Rot as China Takes Revenge for Dissident`s Nobel Prize.” The Independent, October 23, 2011, www.independent.co.uk/news/world/europe/norways-salmon-rot-as-china-takes-revenge-for-dissidents-nobel-prize-2366167.html.
Li, Jing. “首轮中美经济对话: 除上月球外主要问题均已谈及 (First Round of the Sino-US Economic Dialogue: In Addition to the Main Discussion of the Moon).” China News Online, July 29, 2009, www.chinanews.com/gn/news/2009/07-29/1794984.shtml.
Liu, Xuanzun. “China`s Two Aircraft Carriers in Apparent Simultaneous Exercises for 1st Time: Reports.” Global Times, September 6, 2020, www.globaltimes.cn/content/1200053.shtml.
Long, Drake. “Vietnamese, Philippine Fishermen Protest China`s Fishing Ban in SCS.” Radio Free Asia, May 4, 2020, https://www.rfa.org/english/news/china/scs-fishing-05042020194837.html.
Mie, Ayako. “Japan Steps up Rhetoric over Okinotorishima in Wake of Hague Ruling.” The Japan Times, July 15, 2016, www.japantimes.co.jp/news/2016/07/15/national/politics-diplomacy/japan-steps-rhetoric-okinotorishima-wake-hague-ruling.
Mogato, Manuel. “ASEAN Deadlocked on South China Sea, Cambodia Blocks Statement.” Thomson Reuters, July 26, 2016, www.reuters.com/article/us-southchinasea-ruling-asean-idUSKCN1050F6.
Ng, Teddy. “Philippines ‘Rebuilding Runway on South China Sea Island’.” South China Morning Post, May 26, 2018, www.scmp.com/news/china/diplomacy-defence/article/2147935/philippines-rebuilding-runway-south-china-sea-island.
Reuters. “Thailand `Supports` China`s Efforts to Maintain Maritime Peace.” Thomson Reuters, September 7, 2016, www.reuters.com/article/asean-summit-southchinasea-thailand-idUSL3N1BJ27A.
Strait Times. “China to Expand Land Reclamation Activities in South China Sea, Say Experts.” The Straits Times, February 6, 2018, www.straitstimes.com/asia/east-asia/china-to-expand-land-reclamation-activities-in-south-china-sea-say-experts.
Zhou, Laura. “Beijing`s South China Sea Fishing Ban Threatens to Raise Tensions.” South China Morning Post, May 8, 2020, www.scmp.com/news/china/diplomacy/article/3083572/beijings-south-china-sea-fishing-ban-threatens-raise-tensions.

Websites and Blogposts
Asia Maritime Transparency Initiative. “Arbitration Support Tracker.” Asia Maritime Transparency Initiative, Asia Maritime Transparency Initiative, June 16, 2016, amti.csis.org/arbitration-support-tracker.
Asia Maritime Transparency Initiative. “Vietnam’s Island Building: Double-Standard or Drop in the Bucket?” Asia Maritime Transparency Initiative, 2016, amti.csis.org/vietnams-island-building.
Asia Maritime Transparency Initiative. “Who`s Taking Sides on China`s Maritime Claims?” Asia Maritime Transparency Initiative, September 24, 2020, amti.csis.org/whos-taking-sides-on-chinas-maritime-claims.
Brunnée, Jutta. “A Constructivist Theory of International Law?” EJIL Talk, September 23, 2015, www.ejiltalk.org/a-constructivist-theory-of-international-law.
ChinaPower. “How Much Trade Transits the South China Sea?” ChinaPower Project, CSIS, October 10, 2019, chinapower.csis.org/much-trade-transits-south-china-sea.
Guilfoyle, Douglas. “A New Twist in the South China Sea Arbitration: The Chinese Society of International Law’s Critical Study.” EJIL Talk, May 25, 2018, www.ejiltalk.org/a-new-twist-in-the-south-china-sea-arbitration-the-chinese-society-of-international-laws-critical-study.
Ott, Marvin. “The South China Sea in Strategic Terms.” Wilson Center, May 14, 2019, www.wilsoncenter.org/blog-post/the-south-china-sea-strategic-terms.
Overseas Base Realignment and Closure Coalition. “U.S. MILITARY BASES OVERSEAS: THE FACTS.’’, www.overseasbases.net/fact-sheet.html.
Panda, Ankit. “China and South Korea: Examining the Resolution of the THAAD Impasse.” The Diplomat, November 13, 2017, thediplomat.com/2017/11/china-and-south-korea-examining-the-resolution-of-the-thaad-impasse.
Parameswaran, Prashanth. “The Limits of Duterte’s US-China Rebalance.” The Diplomat, October 24, 2016, thediplomat.com/2016/10/the-limits-of-dutertes-us-china-rebalance.
Rachman, Gideon. “A New Cold War: Trump, Xi and the Escalating US-China Confrontation.” Financial Times, October 5. 2020, www.ft.com/content/7b809c6a-f733-46f5-a312-9152aed28172.
Sun, Tzu. “The Internet Classics Archive: The Art of War by Sun Tzu.” Translated by Lionel Giles, The Internet Classics Archive | The Art of War by Sun Tzu, classics.mit.edu/Tzu/artwar.html.
The World Bank Group. “World Development Indicators.” DataBank. databank.worldbank.org/reports.aspx?source=2.
Thayer, Carl. “A Closer Look at the ASEAN-China Single Draft South China Sea Code of Conduct.” The Diplomat, August 6, 2018, thediplomat.com/2018/08/a-closer-look-at-the-asean-china-single-draft-south-china-sea-code-of-conduct.
Vu, Truong Minh, and Nguyen Thanh Trung. “Vietnam’s Need for a Post-Arbitration Policy.” Asia Maritime Transparency Initiative, August 18, 2016, amti.csis.org/vietnams-need-post-arbitration-policy.




Government Statements and Documents
China
Ministry of Foreign Affairs, People’s Republic of China. “Statement of the Government of the People’s Republic of China on China’s Territorial Sovereignty and Maritime Rights and Interests in the South China Sea.” The South China Sea Issues, Ministry of Foreign Affairs, the People’s Republic of China, July 12, 2016, www.fmprc.gov.cn/nanhai/eng/snhwtlcwj_1/t1379493.htm.
People`s Daily. “习近平在第十二届全国人民代表大会第一次会议上的讲话 (Xi-Jinping’s Speech on the 1st Meeting of 12th National People Congress).’” People.cn, March 18, 2013, cpc.people.com.cn/n/2013/0318/c64094-20819130.html.
Permanent Mission of the People’s Republic of China to the United Nations. “Note verbal the to the Secretary-General of United Nations”, CML/18/2009, May 7, 2009, https://publications.parliament.uk/pa/cm201719/cmselect/cmfaff/612/612.pdf?fbclid=IwAR2Vl6lA11JX4Je_uFwWbA_YvT1j84e82iXgk3JkHve-VL8hFdTC7S1WICs.

United Kingdom
Foreign Affairs Committee, House of Commons, 2019, China and the Rules-Based International System Sixteenth Report of Session 2017–19, https://Publications.parliament.uk/Pa/cm201719/Cmselect/Cmfaff/612/612.Pdf?Fbclid=IwAR0SJBQFCGEw3ljSz20z9Xarxbkko5ZbFdZRo2aroayjhynrCGwWJnzX7Ng.
Government of South Georgia and the South Sandwich Islands. “Frequently Asked Questions.” Government of South Georgia & the South Sandwich Islands, www.gov.gs/information/frequently-asked-questions.
United States
Department of Defense, US. “Annual Report to Congress: Military and Security Developments Involving the People’s Republic of China.” Department of Defense, May 15, 2015, dod.defense.gov/Portals/1/Documents/pubs/2017_China_Military_Power_Report.PDF.
Pompeo, Michael R. “U.S. Position on Maritime Claims in the South China Sea - United States Department of State.” U.S. Department of State, U.S. Department of State, July 13, 2020, www.state.gov/u-s-position-on-maritime-claims-in-the-south-china-sea.
The White House. “Remarks by Vice President Pence on the Administration`s Policy Toward China.” The White House, The United States Government, October 4, 2018, www.whitehouse.gov/briefings-statements/remarks-vice-president-pence-administrations-policy-toward-china.
Wong, Alex N. “Briefing on The Indo-Pacific Strategy–United States Department of State.” U.S. Department of State, U.S. Department of State, April 2, 2020, www.state.gov/briefing-on-the-indo-pacific-strategy.
US Navy. “Display-FactFiles.” Aircraft Carriers - CVN > United States Navy > Displayy-Fact Files, www.navy.mil/Resources/Fact-Files/Display-FactFiles/Article/2169795/aircraft-carriers-cvn.

Reports and Perspectives
Hoang, Thi Ha, “Pitfalls for ASEAN in Negotiating a Code of Conduct in the South China Sea,” Perspective No. 57, Researchers at Iseas–Yusof Ishak Institute Analyse Current Events, July 23, 2019.
Le, Hong Hiep, “Vietnam’s Position on the South China Sea Code of Conduct,” Perspective No. 22, Researchers at Iseas–Yusof Ishak Institute Analyse Current Events, April 4, 8, 2019.
Kreuzer, Peter. Peace Research Institute Frankfurt, Dealing with China in the South China Sea: Duterte Changing Course, 2018.
Peng, Edgar. ‘“Same-Same but Different’: Laos and Cambodia’s Political Embrace of China,” Perspective No. 66, Researchers at Iseas–Yusof Ishak Institute Analyse Current Events, September 5, 2017.
Storey, Ian. “Assessing the ASEAN-China Framework for the Code of Conduct for the South China Sea,” Perspective No.62, Researchers at Iseas–Yusof Ishak Institute Analyse Current Events, August 8, 2017.

International Treaties/Conventions and Cases
Convention on the Law of the Sea, December 10, 1982, 1833 U.N.T.S. 397. 
Eritrea v Yemen, Award on Territorial Sovereignty and Scope of the Dispute, (1998) XXII RIAA 211, (1999) 119 ILR 1, (2001) 40 ILM 900, ICGJ 379 (PCA 1998), October 9, 1998, Permanent Court of Arbitration.
South China Sea Arbitration, Philippines v China, Award, PCA Case No 2013-19, ICGJ 495 (PCA 2016), July 12, 2016, Permanent Court of Arbitration.		zh_TW
dc.identifier.doi (DOI) 10.6814/NCCU202100179en_US