國家管轄外海洋生物多樣性之建制複合體：制度遵從之分析

Abstract

《國家管轄外海洋生物多樣性協定》（Agreement on Marine Biodiversity in Areas Beyond National Jurisdiction, BBNJ協定 ）旨在協調國家管轄外海洋生物多樣性（Marine Biodiversity in Areas Beyond National Jurisdiction, BBNJ）現有的建制複雜性，以促進BBNJ之永續使用與保育。關於建制複雜性，學者們在過去廣泛接受 Raustiala 和 Victor（2004）的定義：「治理特定議題領域的一系列部分重疊且無階層的制度」。然而，已有實證研究指出「非正式」階層存在於國際制度互動。本論文偏離國際建制複雜性的「碎片化」論述，以制度遵從理論（Pratt，2018）為基礎，考量國際組織擴散的連結性（Sommerer & Tallberg，2019），並結合海洋治理的脈絡特徵，來分析既有的BBNJ建制互動。 本研究自32個國際制度的官網爬梳將近兩千份政策與法律文件，為本研究所使用的變項進行編碼。首先，透過社會網絡分析來探究BBNJ建制複合體的結構特徵，本文指出BBNJ 建制複合體具有「多中心性」之特色。儘管該複合體不具有嚴謹之單一中心權威，卻呈現數個國際制度作為該複合體之「樞紐」，且制度之間展現一定程度之協調性；此發現與過去認為海洋治理係「碎片化」，而不看好BBNJ治理前景的悲觀看法有所不同。本論文完成之際，BBNJ協定尚待國際批准生效，而本研究的分析結果令筆者樂觀看待BBNJ協定作為既有相關制度的協調者之潛力。 其次，本論文檢驗制度遵從理論，探究了 BBNJ 建制複合體內的遵從程度是否可歸因於國際組織之間成員國權力和功能效率的不對稱；抑或是國際制度之間的正式、非正式，以及生態連結性能夠更好地解釋BBNJ建制複合體之制度遵從現象。作者透過順序羅吉斯迴歸（ordinal logistic regression）分析形塑該複合體中制度遵從的可能影響因素，並針對兩對國際制度的互動案例（《生物多樣性公約》 –《聯合國糧食及農業組織》；《東北大西洋漁業委員會》 – 《保護東北大西洋海洋環境公約》）進行個案研究，分析結果支持以下結論：在BBNJ建制複合體中，不同面向的連結性（成員重疊、官方夥伴關係、地理鄰近等）容易促進國際組織趨同，比起國際組織間的權力政治和功能效率不對稱，能更好地解釋制度遵從的現象。

The Agreement on Marine Biodiversity in Areas Beyond National Jurisdiction (BBNJ Agreement) is a novel attempt to coordinate the existing regime complexity of Marine Biodiversity in Areas Beyond National Jurisdiction (BBNJ) with the aim of enhancing the sustainable use and conservation of BBNJ. Regarding regime complexity, scholars widely accepted Raustiala and Victor’s (2004) definition of regime complexity as “an array of partially overlapping and nonhierarchical institutions governing a particular issue-area” in the past. However, empirical evidence has proven the existence of an informal hierarchy. This thesis deviates from the “fragmentation” discourse of regime complexity. It builds on the theory of institutional deference (Pratt, 2018), considers the connectivity in the diffusion of international organizations (IOs) (Sommerer and Tallberg, 2019), and incorporates contextual features of ocean governance to analyze regime interaction in current BBNJ governance. The author parsed through nearly 2,000 policy and legal documents from the official websites of 32 international institutions to code the variables used in this study. This thesis then investigates the structural features of the BBNJ regime complex through social network analysis. The results reveal the “polycentricity” and coordination of the BBNJ regime complex, challenging the previous view of fragmented ocean governance and the prospects of BBNJ governance. As the BBNJ Agreement awaits international ratification, the author remains optimistic about its potential as the coordinator of existing relevant institutions. Also, this thesis tests the theory of institutional deference. It examines whether the degree of deference in the BBNJ regime complex may be attributed to asymmetries of member state power and functional efficiency among IOs; or if the formal, informal, and ecological connectivity could better explain the institutional deference within BBNJ regime complex. The author conducts ordinal logistic regression to analyze the potential influencing factors of institutional deference within this complex and focuses on two pairs of international institutions (Convention on Biological Diversity – Food and Agriculture Organization; and North-east Atlantic Fisheries Commission – Convention for the Protection of the Marine Environment of the North-east Atlantic) as case studies. The results support the following conclusion: within the BBNJ regime complex, connectivity in different aspects (overlapping membership, official partnership, geographic proximity, etc.) is more easily to facilitate the IO convergence, which can better explain institutional deference than asymmetry in power politics and functional efficiency among IOs.