王金鵬 姜文琪

一、問(wèn)題的提出

國(guó)家管轄范圍以外區(qū)域（Areas beyond national jurisdiction）海域約占全球海洋面積的三分之二。1Robert Blasiak & Nobuyuki Yagi, Shaping an International Agreement on Marine Biodiversity beyond Areas of National Jurisdiction: Lessons from High Seas Fisheries, Marine Policy, Vol. 71, p. 210 (2016).隨著海洋科學(xué)和技術(shù)的發(fā)展，人類對(duì)海洋的開(kāi)發(fā)和利用能力日益增強(qiáng)，漁業(yè)、航運(yùn)、礦產(chǎn)資源開(kāi)發(fā)等人類活動(dòng)影響了國(guó)家管轄范圍以外區(qū)域海洋生物多樣性（Marine biological diversity of areas beyond national jurisdiction）。然而，國(guó)際社會(huì)缺乏有效的管理機(jī)制應(yīng)對(duì)海洋生物多樣性的下降。2Fran Humphries & Harriet Harden-Davies, Practical Policy Solutions for the Final Stage of BBNJ Treaty Negotiations, Marine Policy, Vol. 122, p. 1 (2020).為解決這一問(wèn)題，聯(lián)合國(guó)大會(huì)通過(guò)第72/249 號(hào)決議，決定召開(kāi)政府間會(huì)議就國(guó)家管轄范圍以外區(qū)域海洋生物多樣性的養(yǎng)護(hù)和可持續(xù)利用問(wèn)題擬定一份具有法律約束力的國(guó)際文書(shū)。3UNGA, Resolution Adopted by the General Assembly on 9 December 2017, A/RES/72/249,https://documents-dds-ny.un.org/doc/UNDOC/GEN/N17/468/77/PDF/N1746877.pdf?OpenElement.截至目前已經(jīng)進(jìn)行了五次政府間會(huì)議，討論“一攬子事項(xiàng)”中包含的海洋遺傳資源、包括海洋保護(hù)區(qū)在內(nèi)的劃區(qū)管理工具、環(huán)境影響評(píng)價(jià)和能力建設(shè)與海洋技術(shù)轉(zhuǎn)讓四個(gè)關(guān)鍵問(wèn)題。分別于2018 年9 月、2019 年3 至4 月、2019 年8 月、2022 年3 月以及2022 年8 月召開(kāi)了五次政府間會(huì)議。2023年2 月至3 月召開(kāi)了第五次政府間會(huì)議的續(xù)會(huì)，續(xù)會(huì)通過(guò)了《〈聯(lián)合國(guó)海洋法公約〉下國(guó)家管轄范圍以外區(qū)域海洋生物多樣性的養(yǎng)護(hù)和可持續(xù)利用協(xié)定》（The Agreement under the United Nations Convention on the Law of the Sea on the Conservation and Sustainable Use of Marine Biological Diversity of Areas beyond National Jurisdiction，以下簡(jiǎn)稱“《BBNJ 協(xié)定》”）草案。4UN, UN Delegates Reach Historic Agreement on Protecting Marine Biodiversity in International Waters, UN News (5 March 2023), https://news.un.org/en/story/2023/03/1134157.2023 年6 月19 日政府間會(huì)議正式通過(guò)了該協(xié)定。5《聯(lián)合國(guó)通過(guò)保護(hù)海洋生物多樣性的歷史性協(xié)定》，載聯(lián)合國(guó)網(wǎng)站2023 年6 月19 日，https://news.un.org/zh/story/2023/06/1118977?！禕BNJ 協(xié)定》將于2023 年9 月20 日起開(kāi)始簽署。

為了實(shí)現(xiàn)養(yǎng)護(hù)和可持續(xù)利用國(guó)家管轄范圍以外區(qū)域海洋生物多樣性的目標(biāo)，《BBNJ 協(xié)定》中第一部分“原則與方法”、第三部分“劃區(qū)管理工具”以及第四部分“環(huán)境影響評(píng)價(jià)”都涉及到風(fēng)險(xiǎn)預(yù)防方法的適用。風(fēng)險(xiǎn)預(yù)防方法是國(guó)際環(huán)境法中的概念，對(duì)海洋環(huán)境保護(hù)和資源保護(hù)具有重要意義。例如，國(guó)際海底管理局（以下簡(jiǎn)稱“海管局”）為規(guī)范開(kāi)發(fā)行為，保護(hù)海洋環(huán)境免受開(kāi)發(fā)活動(dòng)產(chǎn)生的有害影響，將風(fēng)險(xiǎn)預(yù)防方法納入到《“區(qū)域”內(nèi)礦物資源開(kāi)發(fā)規(guī)章草案》。6《“區(qū)域”內(nèi)礦物資源開(kāi)發(fā)規(guī)章草案》第2 條。該規(guī)章草案第2（e）條第二項(xiàng)、第44（a）條都提到了適用風(fēng)險(xiǎn)預(yù)防方法。此外，國(guó)際海洋法法庭海底爭(zhēng)端分庭在“關(guān)于擔(dān)保個(gè)人和實(shí)體從事‘區(qū)域’內(nèi)活動(dòng)的國(guó)家所負(fù)責(zé)任和義務(wù)的咨詢意見(jiàn)”中指出，擔(dān)保國(guó)和海管局都有義務(wù)采用風(fēng)險(xiǎn)預(yù)防方法。7ITLOS, Responsibilities and Obligations of States Sponsoring Persons, and Entities with Respect to Activities in the Area, Advisory Opinion of 1 February 2011, para. 131.由于國(guó)家管轄范圍以外區(qū)域海洋生態(tài)環(huán)境動(dòng)態(tài)復(fù)雜8同前注2, Fran Humphries & Harriet Harden-Davies, p. 3.，國(guó)際社會(huì)對(duì)國(guó)家管轄范圍以外區(qū)域海洋生物多樣性及生態(tài)系統(tǒng)的認(rèn)識(shí)并不充分，9Elizabeth M. De Santo, et al., Protecting Biodiversity in Areas beyond National Jurisdiction:An Earth System Governance Perspective, Earth System Governance, Vol. 2, p. 2 (2019).人類活動(dòng)對(duì)國(guó)家管轄范圍以外區(qū)域海洋環(huán)境以及生物多樣性的影響具有不確定性。有必要采納風(fēng)險(xiǎn)預(yù)防方法以避免或減少人類活動(dòng)對(duì)海洋生態(tài)環(huán)境產(chǎn)生的影響。

《BBNJ 協(xié)定》政府間會(huì)議期間多次討論了風(fēng)險(xiǎn)預(yù)防方法在《BBNJ 協(xié)定》中的適用，談判各方的分歧集中在《BBNJ 協(xié)定》應(yīng)適用風(fēng)險(xiǎn)預(yù)防方法（Precautionary Approach）還是風(fēng)險(xiǎn)預(yù)防原則（Precautionary Principle）。2023 年第五次政府間會(huì)議續(xù)會(huì)期間各方著重討論了劃區(qū)管理工具中緊急措施是否適用風(fēng)險(xiǎn)預(yù)防的問(wèn)題。最終通過(guò)的《BBNJ 協(xié)定》采用了折中方案，即在“一般原則和方法”部分同時(shí)規(guī)定了風(fēng)險(xiǎn)預(yù)防方法和風(fēng)險(xiǎn)預(yù)防原則，以實(shí)現(xiàn)最大范圍的認(rèn)可。《BBNJ 協(xié)定》中劃區(qū)管理工具部分使用了風(fēng)險(xiǎn)預(yù)防方法的措辭，環(huán)境影響評(píng)價(jià)部分的具體條款體現(xiàn)了風(fēng)險(xiǎn)預(yù)防方法的適用。

目前對(duì)風(fēng)險(xiǎn)預(yù)防方法在《BBNJ 協(xié)定》中適用這一問(wèn)題的研究較少。有學(xué)者研究了《BBNJ 協(xié)定》談判過(guò)程中存在風(fēng)險(xiǎn)預(yù)防方法和風(fēng)險(xiǎn)預(yù)防原則的分歧，例如，外國(guó)學(xué)者坦雅·瓦格納爾（Tanya Wagenaar）研究了作為《BBNJ 協(xié)定》一般原則的風(fēng)險(xiǎn)預(yù)防，其認(rèn)為風(fēng)險(xiǎn)預(yù)防原則和風(fēng)險(xiǎn)預(yù)防方法之間具有模糊性，并認(rèn)為采用“適用風(fēng)險(xiǎn)預(yù)防”的表達(dá)可以規(guī)避這一分歧。10Tanya Wagenaar, A Principled Approach for BBNJ: An Idea Whose Time has Come, Review of European, Comparative and International Environmental Law, Vol. 31:3, p. 399-410(2022).但“適用風(fēng)險(xiǎn)預(yù)防”的措辭會(huì)使條文的清晰度存疑。11Elizabeth Mendenhall, et al., Direction, not Detail: Progress Towards Consensus at the Fourth Intergovernmental Conference on Biodiversity beyond National Jurisdiction, Marine Policy, Vol. 146, p. 1-10 (2022).有學(xué)者從總體上研究了法律原則對(duì)于《BBNJ 協(xié)定》的作用，說(shuō)明了風(fēng)險(xiǎn)預(yù)防原則對(duì)海洋保護(hù)區(qū)的作用。12Katherine Houghton, Identifying New Pathways for Ocean Governance: The Role of Legal Principles in Areas beyond National Jurisdiction, Marine Policy, Vol. 49, p. 118-126 (2014).也有學(xué)者提及風(fēng)險(xiǎn)預(yù)防方法對(duì)養(yǎng)護(hù)海洋生物多樣性具有重要意義。13Fran Humphries & Harriet Harden-Davies, Practical Policy Solutions for the Final Stage of BBNJ Treaty Negotiations, Marine Policy, Vol. 122, p. 1-7 (2020).但均未在《BBNJ 協(xié)定》背景下結(jié)合風(fēng)險(xiǎn)預(yù)防方法與風(fēng)險(xiǎn)預(yù)防原則之間的區(qū)別，討論風(fēng)險(xiǎn)預(yù)防方法的適用問(wèn)題。

中國(guó)在《BBNJ 協(xié)定》談判中支持適用風(fēng)險(xiǎn)預(yù)防方法。例如，第三次政府間會(huì)議期間，中國(guó)支持適用風(fēng)險(xiǎn)預(yù)防方法。14IISD, Summary Report of 19-30 August 2019, 3rd Session of the Intergovernmental Conference (IGC) on the Conservation and Sustainable Use of Marine Biodiversity of Areas Beyond National Jurisdiction, Earth Negotiations Bulletin (2 September 2019),https://enb.iisd.org/events/3rd-session-intergovernmental-conference-igc-conservation-andsustainable-use-marine/summary.近年來(lái)，中國(guó)的海洋科學(xué)和技術(shù)能力不斷提升，在國(guó)家管轄范圍以外區(qū)域的航運(yùn)、漁業(yè)和科研活動(dòng)日益增多。15Menon Economics, The Leading Maritime Nations of the World 2018, Menon Economics(5 September 2018), https://www.menon.no/the-leading-maritime-nations-of-the-world-2018/?lang=en.中國(guó)參與《BBNJ 協(xié)定》實(shí)施具有重要意義。因此，本文從中國(guó)視角分析了風(fēng)險(xiǎn)預(yù)防方法在《BBNJ 協(xié)定》中的適用問(wèn)題。本文將結(jié)合風(fēng)險(xiǎn)預(yù)防方法的內(nèi)涵及風(fēng)險(xiǎn)預(yù)防方法與原則之間的區(qū)別，討論其在《BBNJ 協(xié)定》中適用的必要性，繼而具體分析《BBNJ 協(xié)定》中體現(xiàn)風(fēng)險(xiǎn)預(yù)防方法的具體條款及其實(shí)施。

二、風(fēng)險(xiǎn)預(yù)防方法的內(nèi)涵及在其在《BBNJ 協(xié)定》中適用的必要性

《BBNJ 協(xié)定》是就國(guó)家管轄范圍以外區(qū)域海洋生物多樣性的養(yǎng)護(hù)和可持續(xù)利用問(wèn)題擬定的一份具有約束力的國(guó)際文書(shū)。其主要目的在于確保國(guó)家管轄范圍以外區(qū)域海洋生物多樣性的當(dāng)前以及長(zhǎng)期養(yǎng)護(hù)和可持續(xù)利用。國(guó)際社會(huì)對(duì)國(guó)家管轄以外區(qū)域生態(tài)環(huán)境的認(rèn)識(shí)有限。人類活動(dòng)對(duì)國(guó)家管轄范圍以外區(qū)域生態(tài)的影響具有不確定性。風(fēng)險(xiǎn)預(yù)防方法體現(xiàn)了謹(jǐn)慎管理環(huán)境損害風(fēng)險(xiǎn)的理念，對(duì)管理國(guó)家管轄范圍以外區(qū)域環(huán)境損害風(fēng)險(xiǎn)具有重要意義。本部分梳理風(fēng)險(xiǎn)預(yù)防方法的內(nèi)涵，區(qū)分風(fēng)險(xiǎn)預(yù)防方法與風(fēng)險(xiǎn)預(yù)防原則，并討論風(fēng)險(xiǎn)預(yù)防方法在《BBNJ 協(xié)定》中適用的必要性問(wèn)題。

（一）風(fēng)險(xiǎn)預(yù)防方法與風(fēng)險(xiǎn)預(yù)防原則

風(fēng)險(xiǎn)預(yù)防方法作為國(guó)際環(huán)境法的一項(xiàng)基本原則，可以追溯到20 世紀(jì)70 年代的德國(guó)環(huán)境法中“Vorsorgeprinzip”概念。16Aline L. Jaeckel, The International Seabed Authority and the Precautionary Principle:Balancing Deep Seabed Mineral Mining and Marine Environmental Protection, Brill Nijhoff, 2017, p. 30; David Kriebel, et al., The Precautionary Principle in Environmental Science, Environmental Health Perspectives, Vol. 109:9, p. 871 (2001).其早期的核心理念是國(guó)家應(yīng)該通過(guò)謹(jǐn)慎的前瞻性規(guī)劃來(lái)避免環(huán)境破壞。17Timothy O’Riordan & Andrew Jordan, The Precautionary Principle in Contemporary Environmental Politics, Environmental Values, Vol. 4:3, p. 193 (1995).1992 年《里約環(huán)境與發(fā)展宣言》（Rio Declaration on Environment and Development，以下簡(jiǎn)稱“《里約宣言》”）采用了風(fēng)險(xiǎn)預(yù)防方法。該宣言原則15 指出，為了進(jìn)行環(huán)境保護(hù)，各國(guó)應(yīng)當(dāng)依照本國(guó)的實(shí)際能力普遍地采用風(fēng)險(xiǎn)預(yù)防方法，在存在嚴(yán)重或不可逆轉(zhuǎn)的損害威脅的情況下，不得以缺乏充分的科學(xué)確定性為由推遲采取符合成本效益的措施防止環(huán)境退化。18UNGA, Rio Declaration on Environment and Development, in Report of the United Nations Conference on Environment and Development, A/CONF.151/26 (Vol. I), 12 August 1992,Principle 15.據(jù)此，可知風(fēng)險(xiǎn)預(yù)防方法包含三個(gè)基本內(nèi)涵：一是存在環(huán)境損害風(fēng)險(xiǎn)，風(fēng)險(xiǎn)需要達(dá)到一定的閾值；二是科學(xué)不確定性，不能因具有科學(xué)不確定性而拒絕采取措施保護(hù)環(huán)境；三是采取措施，即采取措施以預(yù)防環(huán)境損害發(fā)生。

實(shí)踐中，圍繞風(fēng)險(xiǎn)預(yù)防存在原則還是方法的爭(zhēng)議。首先，相對(duì)于風(fēng)險(xiǎn)預(yù)防原則，風(fēng)險(xiǎn)預(yù)防方法被認(rèn)為更具有靈活性。在國(guó)際海洋法法庭的“南方藍(lán)鰭金槍魚(yú)案”中，萊恩法官（Edward A. Laing）在其獨(dú)立意見(jiàn)中指出，風(fēng)險(xiǎn)預(yù)防方法適當(dāng)引入了靈活性。19ITLOS, Southern Bluefin Tuna Cases (New Zealand v. Japan; Australia v. Japan),Provisional Measures, Order of 27 August 1999, Separate Opinion of Judge Laing, para. 19.其次，國(guó)際社會(huì)對(duì)于風(fēng)險(xiǎn)預(yù)防原則是否具有習(xí)慣國(guó)際法的性質(zhì)存在疑問(wèn)。在歐洲共同體（European Community，以下簡(jiǎn)稱“歐共體”）轉(zhuǎn)基因農(nóng)產(chǎn)品案中，歐共體認(rèn)為風(fēng)險(xiǎn)預(yù)防原則具有習(xí)慣國(guó)際法的性質(zhì)。而美國(guó)認(rèn)為風(fēng)險(xiǎn)預(yù)防原則不具有習(xí)慣國(guó)際法的地位。20WTO, Reports of the Panel on European Communities - Measures Affecting the Approval and Marketing of Biotech Products, WT/DS291/R, WT/DS292/R, WT/DS293/R, 29 September 2006, para. 7.80-7.82.第三，風(fēng)險(xiǎn)預(yù)防方法被認(rèn)為更符合可持續(xù)發(fā)展理念?？沙掷m(xù)發(fā)展理念體現(xiàn)為在環(huán)境利益與經(jīng)濟(jì)社會(huì)利益之間進(jìn)行平衡。換言之，保護(hù)環(huán)境利益的同時(shí)不能犧牲經(jīng)濟(jì)社會(huì)利益。風(fēng)險(xiǎn)預(yù)防原則通常規(guī)定禁止性的措施，如為保護(hù)漁業(yè)資源對(duì)大規(guī)模遠(yuǎn)洋流網(wǎng)捕撈完全禁止，會(huì)導(dǎo)致漁業(yè)停止。21John M. MacDonald, Appreciating the Precautionary Principle as an Ethical Evolution in Ocean Management, Ocean Development and International law, Vol. 26:3, p. 272-274(1995).風(fēng)險(xiǎn)預(yù)防方法具有靈活適用的特點(diǎn)，在實(shí)施過(guò)程中能夠兼顧環(huán)境利益與經(jīng)濟(jì)社會(huì)利益，能夠更好的實(shí)現(xiàn)可持續(xù)發(fā)展。

學(xué)術(shù)界也討論了風(fēng)險(xiǎn)預(yù)防方法和風(fēng)險(xiǎn)預(yù)防原則之間的區(qū)別。一些學(xué)者認(rèn)為，風(fēng)險(xiǎn)預(yù)防方法和風(fēng)險(xiǎn)預(yù)防原則的差異并不明顯。然而，全球協(xié)議更多采用風(fēng)險(xiǎn)預(yù)防方法而不是風(fēng)險(xiǎn)預(yù)防原則22Patricia Birnie, Alan Boyle & Catherine Redgwell, International Law and the Environment(Third Edition), Oxford University Press, 2009, p. 155-160.。例如，《執(zhí)行1982 年12 月10 日〈聯(lián)合國(guó)海洋法公約〉有關(guān)養(yǎng)護(hù)和管理跨界魚(yú)類種群和高度洄游魚(yú)類種群的規(guī)定的協(xié)定》（以下簡(jiǎn)稱“《聯(lián)合國(guó)魚(yú)類種群協(xié)定》”）第六條指出，各國(guó)應(yīng)采取風(fēng)險(xiǎn)預(yù)防方法，養(yǎng)護(hù)、管理和開(kāi)發(fā)跨界魚(yú)類種群和高度洄游魚(yú)類種群，以保護(hù)海洋生物資源和維護(hù)海洋環(huán)境。23《執(zhí)行1982 年12 月10 日〈聯(lián)合國(guó)海洋法公約〉有關(guān)養(yǎng)護(hù)和管理跨界魚(yú)類種群和高度洄游魚(yú)類種群的規(guī)定的協(xié)定》第6 條。

（二）風(fēng)險(xiǎn)預(yù)防方法在《BBNJ 協(xié)定》中適用的必要性

風(fēng)險(xiǎn)預(yù)防對(duì)保護(hù)海洋環(huán)境、養(yǎng)護(hù)海洋生物多樣性具有重要意義。自《BBNJ協(xié)定》談判伊始，各方既已認(rèn)識(shí)到適用風(fēng)險(xiǎn)預(yù)防保護(hù)海洋環(huán)境和養(yǎng)護(hù)海洋生物多樣性的重要性。2006 年BBNJ 不限成員名額非正式特設(shè)工作組會(huì)議既已指出捕撈、垃圾傾倒等人類活動(dòng)對(duì)國(guó)家管轄范圍以外區(qū)域海洋生物多樣性造成了巨大威脅，并且認(rèn)為風(fēng)險(xiǎn)預(yù)防方法和生態(tài)系統(tǒng)方法是應(yīng)對(duì)這種威脅的根本性原則。24UNGA, Report of the Ad Hoc Open-ended Informal Working Group to study issues relating to the conservation and sustainable use of marine biological diversity beyond areas of national jurisdiction, A/61/65, 20 March 2006, para. 33.

其一，人類活動(dòng)對(duì)國(guó)家管轄范圍以外區(qū)域海洋生物多樣性存在損害威脅。通常，風(fēng)險(xiǎn)預(yù)防方法的適用以存在嚴(yán)重或不可逆的損害威脅為閾值。要判斷某一活動(dòng)是否達(dá)到適用風(fēng)險(xiǎn)預(yù)防方法的閾值需要基于現(xiàn)有最佳科學(xué)證據(jù)。航運(yùn)、捕魚(yú)等人類活動(dòng)對(duì)國(guó)家范圍以外區(qū)域海洋生物多樣性的影響不可避免。海洋科學(xué)研究、深海海底采礦和環(huán)境改造活動(dòng)等有可能損害國(guó)家管轄范圍以外區(qū)域海域具有相互關(guān)聯(lián)和敏感性的生態(tài)系統(tǒng)。25Robin M. Warner, Conserving Marine Biodiversity in Areas beyond National Jurisdiction:Co-Evolution and Interaction with the Law of the Sea, Frontiers in Marine Science, Vol. 1, p.1 (2014).例如，海底拖網(wǎng)的捕魚(yú)方式會(huì)造成嚴(yán)重的環(huán)境影響；深海采礦所使用的設(shè)備以及采礦過(guò)程中產(chǎn)生的沉積物羽流可能會(huì)損害海底獨(dú)特的生態(tài)系統(tǒng)，26PEW, Precautionary Approach Needed for Deep-Sea Mining, PewTrusts (17 June 2016),https://www.pewtrusts.org/en/research-and-analysis/fact-sheets/2016/06/precautionaryapproach-needed-for-deep-sea-mining.可能破壞生物棲息地導(dǎo)致生物多樣性的喪失。27C. L. Van Dover, et al., Biodiversity Loss from Deep-Sea Mining, Nature Geoscience, Vol.10, p. 464 (2017).世界自然保護(hù)聯(lián)盟在2023 年發(fā)布的最新評(píng)估中指出，近10%的海洋物種面臨滅絕的風(fēng)險(xiǎn)。28IUCN, Human Activity Devastating Marine Species from Mammals to Corals — IUCN Red List, IUCN website (9 December 2022), https://www.iucn.org/press-release/202212/humanactivity-devastating-marine-species-mammals-corals-iucn-red-list.

其二，人類活動(dòng)對(duì)國(guó)家管轄范圍以外區(qū)域海洋生物多樣性的影響具有科學(xué)不確定性。雖然，海洋科學(xué)和技術(shù)的發(fā)展加深了人類對(duì)于海洋的認(rèn)識(shí)和了解，但海洋科學(xué)研究仍處于發(fā)展階段，對(duì)海洋環(huán)境以及人類活動(dòng)對(duì)海洋環(huán)境影響的認(rèn)識(shí)仍然有限。29Robin Warner, Environmental Assessment in Marine Areas beyond National Jurisdiction:Practice and Prospects, the American Society of International Law, Vol. 111, p. 252 (2017).對(duì)有關(guān)海洋生物多樣性分布以及這些生態(tài)系統(tǒng)對(duì)人類活動(dòng)的脆弱性等關(guān)鍵信息認(rèn)識(shí)不足。30同前注9，Elizabeth M. De Santo 等。因此，國(guó)際社會(huì)對(duì)人類活動(dòng)對(duì)海洋生態(tài)環(huán)境的具體影響、活動(dòng)與損害之間的關(guān)系以及如何消除活動(dòng)的影響的認(rèn)識(shí)具有科學(xué)不確定性。

在談判期間，各方對(duì)《BBNJ 協(xié)定》文本將風(fēng)險(xiǎn)預(yù)防規(guī)定為“風(fēng)險(xiǎn)預(yù)防原則”還是“風(fēng)險(xiǎn)預(yù)防方法”存在分歧?！禕BNJ 協(xié)定》第三次政府間會(huì)議期間，有代表提出在一般原則和方法部分加入風(fēng)險(xiǎn)預(yù)防原則/方法。31IISD, Daily Report for 28 August 2019, 3rd Session of the Intergovernmental Conference(IGC) on the Conservation and Sustainable Use of Marine Biodiversity of Areas Beyond National Jurisdiction, Earth Negotiations Bulletin (29 August 2019), https://enb.iisd.org/events/3rd-session-intergovernmental-conference-igc-conservation-and-sustainable-usemarine/daily-0.隨后第四次政府間會(huì)議期間的案文草案第5 條“一般原則與方法”中（e）項(xiàng)擬定為風(fēng)險(xiǎn)預(yù)防方法或風(fēng)險(xiǎn)預(yù)防原則（precautionary approach/principle）。但這一表述引起的各方的爭(zhēng)議，各方對(duì)應(yīng)當(dāng)適用風(fēng)險(xiǎn)預(yù)防方法還是風(fēng)險(xiǎn)預(yù)防原則存在分歧。以歐盟為代表的國(guó)家支持適用風(fēng)險(xiǎn)預(yù)防原則，而美國(guó)、日本、韓國(guó)等國(guó)家認(rèn)為《BBNJ 協(xié)定》中應(yīng)適用風(fēng)險(xiǎn)預(yù)防方法。為避免分歧，第五次政府間會(huì)議將案文草案修改為實(shí)施風(fēng)險(xiǎn)預(yù)防（the application of precaution）。這種折中方案僅得到少部分代表的認(rèn)可，并沒(méi)有解決風(fēng)險(xiǎn)預(yù)防原則還是風(fēng)險(xiǎn)預(yù)防方法的爭(zhēng)議。32IISD, Daily Report for 24 August 2022, 5th Session of the Intergovernmental Conference(IGC) on the BBNJ, Earth Negotiations Bulletin (25 August 2022), https://enb.iisd.org/marine-biodiversity-beyond-national-jurisdiction-bbnj-igc5-daily-report-24aug2022.最終各方達(dá)成妥協(xié)，將《BBNJ協(xié)定》第7 條“一般原則和方法”第5 項(xiàng)規(guī)定為，“在適當(dāng)情況下，風(fēng)險(xiǎn)預(yù)防原則或風(fēng)險(xiǎn)預(yù)防方法”（The precautionary principle or precautionary approach, as appropriate）。33《〈聯(lián)合國(guó)海洋法公約〉下國(guó)家管轄范圍以外區(qū)域海洋生物多樣性的養(yǎng)護(hù)和可持續(xù)利用協(xié)定》第7 條。分歧背后的原因是雖然風(fēng)險(xiǎn)預(yù)防方法和原則都具有預(yù)防不確定的環(huán)境損害風(fēng)險(xiǎn)的作用，但實(shí)施過(guò)程中在靈活性等方面存在差異。各方雖認(rèn)同《BBNJ協(xié)定》采用的妥協(xié)方式，但在后續(xù)《BBNJ 協(xié)定》的實(shí)施中，因各國(guó)對(duì)風(fēng)險(xiǎn)預(yù)防原則和風(fēng)險(xiǎn)預(yù)防方法理解的差異以及各國(guó)立場(chǎng)的區(qū)別，適用“風(fēng)險(xiǎn)預(yù)防原則”還是“風(fēng)險(xiǎn)預(yù)防方法”的分歧仍然存在。

《BBNJ 協(xié)定》規(guī)定在擬定劃區(qū)管理工具提案、實(shí)施緊急措施以及調(diào)整劃區(qū)管理工具的養(yǎng)護(hù)措施時(shí)要適用風(fēng)險(xiǎn)預(yù)防方法。在談判中，各國(guó)對(duì)風(fēng)險(xiǎn)預(yù)防在劃區(qū)管理工具部分的適用也存在風(fēng)險(xiǎn)預(yù)防方法還是風(fēng)險(xiǎn)預(yù)防原則的分歧。結(jié)合劃區(qū)管理工具的目的以及風(fēng)險(xiǎn)預(yù)防方法與風(fēng)險(xiǎn)預(yù)防原則之間的差異，風(fēng)險(xiǎn)預(yù)防方法更有益于實(shí)現(xiàn)養(yǎng)護(hù)和可持續(xù)利用養(yǎng)護(hù)生物多樣性的目標(biāo)。這一目的同時(shí)包含養(yǎng)護(hù)與利用兩個(gè)方面。全球范圍內(nèi)存在多種形式的劃區(qū)管理工具，如海洋保護(hù)區(qū)、特殊區(qū)域和敏感海域、區(qū)域環(huán)境管理計(jì)劃、特別環(huán)境利益區(qū)、季節(jié)性或全年休漁區(qū)以及脆弱海洋生態(tài)系統(tǒng)等。34Elizabeth M. De Santo, Implementation Challenges of Area-based Management Tools(ABMTs) for Biodiversity beyond National Jurisdiction (BBNJ), Marine Policy, Vol. 97, p.39 (2018).各種類型的劃區(qū)管理工具養(yǎng)護(hù)目的不同，風(fēng)險(xiǎn)預(yù)防方法具有靈活性，意味著其在實(shí)施時(shí)具有一定的彈性，能夠結(jié)合不同類型劃區(qū)管理工具的特點(diǎn)及需保護(hù)區(qū)域的特定生態(tài)環(huán)境，采取具有差異性的風(fēng)險(xiǎn)預(yù)防措施，預(yù)防環(huán)境損害風(fēng)險(xiǎn)。同時(shí)，風(fēng)險(xiǎn)預(yù)防方法在實(shí)施過(guò)程中能兼顧環(huán)境利益與經(jīng)濟(jì)社會(huì)利益，能實(shí)現(xiàn)對(duì)海洋生物多樣性的養(yǎng)護(hù)與利用。

《BBNJ 協(xié)定》對(duì)環(huán)境影響評(píng)價(jià)的門(mén)檻、決策、監(jiān)測(cè)授權(quán)活動(dòng)的影響的規(guī)定也體現(xiàn)了風(fēng)險(xiǎn)預(yù)防方法。環(huán)境影響評(píng)價(jià)過(guò)程可以揭示一項(xiàng)活動(dòng)對(duì)生態(tài)系統(tǒng)多個(gè)組成部分的潛在影響范圍以及減輕預(yù)測(cè)影響的可能方法。35Kristina M. Gjerde, Glen Wright & Carole Durussel, Strengthening High Seas Governance through Enhanced Environmental Assessment Processes: A Case Study of Mesopelagic Fisheries and Options for A Future BBNJ Treaty, Strong High Seas Project, 2021, https://publications.iass-potsdam.de/rest/items/item_6000701_3/component/file_6000702/content,p. 18.環(huán)境影響評(píng)價(jià)作為評(píng)估擬開(kāi)展活動(dòng)存在的環(huán)境損害風(fēng)險(xiǎn)的一種方式，其本身體現(xiàn)了謹(jǐn)慎管理風(fēng)險(xiǎn)的理念，是管理環(huán)境損害風(fēng)險(xiǎn)的一種方法。風(fēng)險(xiǎn)預(yù)防方法具有靈活性，更能在環(huán)境影響評(píng)價(jià)過(guò)程中識(shí)別各種活動(dòng)之間損害程度的差異。例如，海洋科學(xué)研究行為會(huì)對(duì)海洋環(huán)境產(chǎn)生損害。海洋科學(xué)研究有時(shí)會(huì)將聲音引入海洋環(huán)境，會(huì)對(duì)海洋生物產(chǎn)生不利影響。36Harm M. Dotinga & Alex G. Oude Elferink, Acoustic Pollution in the Oceans: The Search for Legal Standards, Ocean Development and International Law, Vol. 31:1-2, p. 151-182(2000).但并非所有的聲音都會(huì)對(duì)海洋生物產(chǎn)生不利影響，同一種聲音的強(qiáng)度對(duì)海洋生物影響的程度不同，風(fēng)險(xiǎn)預(yù)防方法可以根據(jù)其損害程度不同制定不同的風(fēng)險(xiǎn)預(yù)防措施。而適用風(fēng)險(xiǎn)預(yù)防原則可能會(huì)導(dǎo)致此類科學(xué)研究行為的完全禁止。海洋科學(xué)研究能夠?yàn)楹Ｑ笊锒鄻有缘谋Ｗo(hù)提供所需要的信息和數(shù)據(jù)，在進(jìn)行環(huán)境影響評(píng)價(jià)時(shí)需要區(qū)分損害達(dá)到的程度制定預(yù)防措施，不能完全禁止。

因此，雖然《BBNJ 協(xié)定》第7 條規(guī)避了“風(fēng)險(xiǎn)預(yù)防方法”還是“風(fēng)險(xiǎn)預(yù)防原則”的分歧，但實(shí)踐中仍面臨著適用“風(fēng)險(xiǎn)預(yù)防方法”還是“風(fēng)險(xiǎn)預(yù)防原則”的爭(zhēng)議。風(fēng)險(xiǎn)預(yù)防方法適用于《BBNJ 協(xié)定》有其必要性。風(fēng)險(xiǎn)預(yù)防方法能避免不確定環(huán)境損害風(fēng)險(xiǎn)造成的嚴(yán)重的或不可逆的環(huán)境損害，對(duì)保護(hù)海洋環(huán)境和養(yǎng)護(hù)海洋生物多樣性具有重要作用。風(fēng)險(xiǎn)預(yù)防方法具有靈活性，能兼顧環(huán)境利益與社會(huì)經(jīng)濟(jì)利益，在劃區(qū)管理工具中適用風(fēng)險(xiǎn)預(yù)防方法有助于實(shí)現(xiàn)養(yǎng)護(hù)和可持續(xù)利用生物多樣性的目標(biāo)。環(huán)境影響評(píng)價(jià)可以看作一種預(yù)防風(fēng)險(xiǎn)的方式，體現(xiàn)了謹(jǐn)慎管理風(fēng)險(xiǎn)的理念。

三、一般原則與方法中的風(fēng)險(xiǎn)預(yù)防方法與中國(guó)參與

在BBNJ 第一次會(huì)議中，國(guó)際社會(huì)已認(rèn)識(shí)到，各項(xiàng)原則可為全球共識(shí)提供基礎(chǔ)，以養(yǎng)護(hù)和可持續(xù)利用海洋生物多樣性。37同前注24, UNGA, para. 23, 33.《BBNJ 協(xié)定》第7 條規(guī)定締約方應(yīng)當(dāng)在適當(dāng)情況下，遵循風(fēng)險(xiǎn)預(yù)防原則或風(fēng)險(xiǎn)預(yù)防方法。38《〈聯(lián)合國(guó)海洋法公約〉下國(guó)家管轄范圍以外區(qū)域海洋生物多樣性的養(yǎng)護(hù)和可持續(xù)利用協(xié)定》第7 條。該規(guī)定采取了一種具有選擇性的適用方法，這是一種妥協(xié)的方案，并沒(méi)有從根本上解決各方之間關(guān)于“風(fēng)險(xiǎn)預(yù)防方法”與“風(fēng)險(xiǎn)預(yù)防原則”的分歧。

在談判中，中國(guó)傾向于《BBNJ 協(xié)定》適用“風(fēng)險(xiǎn)預(yù)防方法”。中國(guó)在海管局的實(shí)踐也支持對(duì)風(fēng)險(xiǎn)預(yù)防方法的適用。海管局先后制定的三個(gè)勘探規(guī)章中均體現(xiàn)了風(fēng)險(xiǎn)預(yù)防方法。39《“區(qū)域”內(nèi)多金屬結(jié)核探礦和勘探規(guī)章》第2（2）條；《“區(qū)域”內(nèi)多金屬硫化物探礦和勘探規(guī)章》第2（2）條；《“區(qū)域”內(nèi)富鈷鐵錳結(jié)殼探礦和勘探規(guī)章》第2（2）條。海管局草擬的《“區(qū)域”內(nèi)礦物資源開(kāi)發(fā)規(guī)章草案》第44 條指出海管局、擔(dān)保國(guó)和承包者應(yīng)采用風(fēng)險(xiǎn)預(yù)防方法，評(píng)估和管理“區(qū)域”內(nèi)開(kāi)發(fā)活動(dòng)損害海洋環(huán)境的風(fēng)險(xiǎn)。40《“區(qū)域”內(nèi)礦物資源開(kāi)發(fā)規(guī)章草案》第44 條。結(jié)合風(fēng)險(xiǎn)預(yù)防原則和風(fēng)險(xiǎn)預(yù)防方法之間的區(qū)別，中國(guó)支持適用風(fēng)險(xiǎn)預(yù)防方法主要有以下原因。

第一，風(fēng)險(xiǎn)預(yù)防方法具有靈活性，其在實(shí)施過(guò)程中往往表現(xiàn)為“軟”方法，41同前注21，John M. MacDonald。能靈活應(yīng)對(duì)人類活動(dòng)產(chǎn)生的環(huán)境損害風(fēng)險(xiǎn)。海洋科學(xué)研究活動(dòng)也存在環(huán)境損害風(fēng)險(xiǎn)。有些海洋科學(xué)研究需要在海洋中使用研究設(shè)備或搭建科學(xué)研究平臺(tái)，有的需要在海洋中使用鉆探技術(shù)進(jìn)行取樣，這些行為可能會(huì)影響海洋物種或生境，破壞海洋生態(tài)系統(tǒng)的結(jié)構(gòu)特征。42Anna-Maria Hubert, The New Paradox in Marine Scientific Research: Regulating the Potential Environmental Impacts of Conducting Ocean Science, Ocean Development and International Law, Vol. 42:4, p. 331 (2011).風(fēng)險(xiǎn)預(yù)防方法可以根據(jù)海洋科學(xué)研究活動(dòng)對(duì)海洋環(huán)境的損害程度，靈活適用風(fēng)險(xiǎn)預(yù)防措施。而風(fēng)險(xiǎn)預(yù)防原則往往是“硬”性的禁止性保護(hù)規(guī)則。43同前注21，John M. MacDonald。這意味著，一些對(duì)海洋環(huán)境的損害程度低于“嚴(yán)重的或不可逆的損害風(fēng)險(xiǎn)”的海洋科學(xué)研究活動(dòng)會(huì)被禁止，這會(huì)影響國(guó)際社會(huì)在國(guó)家管轄范圍以外區(qū)域進(jìn)行海洋科學(xué)研究的自由。

第二，風(fēng)險(xiǎn)預(yù)防方法法律性質(zhì)明晰，能更好的發(fā)揮預(yù)防環(huán)境損害風(fēng)險(xiǎn)的作用。實(shí)踐中，國(guó)際社會(huì)對(duì)于風(fēng)險(xiǎn)預(yù)防原則是否具有習(xí)慣國(guó)際法的性質(zhì)存疑。歐盟一貫主張風(fēng)險(xiǎn)預(yù)防方法具有習(xí)慣國(guó)際法的性質(zhì)，相反美國(guó)認(rèn)為風(fēng)險(xiǎn)預(yù)防原則不具有習(xí)慣國(guó)際法的性質(zhì)。44同前注20。習(xí)慣國(guó)際法具有兩個(gè)構(gòu)成要件：一般慣例與法律確信。在實(shí)踐中，現(xiàn)有國(guó)際文書(shū)中，有的適用風(fēng)險(xiǎn)預(yù)防方法，如《里約宣言》；有的適用風(fēng)險(xiǎn)預(yù)防原則，如《保護(hù)東北大西洋海洋環(huán)境公約》（Convention for the Protection of the Marine Environment of the North-East Atlantic）第2 條規(guī)定締約方應(yīng)適用風(fēng)險(xiǎn)預(yù)防原則。45《保護(hù)東北大西洋海洋環(huán)境公約》第2 條?？梢?jiàn)，未形成一致的實(shí)踐，不構(gòu)成一般慣例。由于國(guó)際社會(huì)對(duì)風(fēng)險(xiǎn)預(yù)防原則的法律性質(zhì)存在爭(zhēng)議，顯然并未形成法律確信。因此，風(fēng)險(xiǎn)預(yù)防原則不構(gòu)成習(xí)慣國(guó)際法。風(fēng)險(xiǎn)預(yù)防方法的法律性質(zhì)明晰，其作為具體的保護(hù)措施，能更好應(yīng)對(duì)不確定的環(huán)境損害風(fēng)險(xiǎn)。

第三，風(fēng)險(xiǎn)預(yù)防方法能夠兼顧環(huán)境利益與社會(huì)經(jīng)濟(jì)利益，有利于《BBNJ 協(xié)定》目標(biāo)的實(shí)現(xiàn)?！禕BNJ 協(xié)定》的一般目標(biāo)是確保國(guó)家管轄范圍以外區(qū)域海洋生物多樣性的當(dāng)前及長(zhǎng)期的養(yǎng)護(hù)和可持續(xù)利用。46《〈聯(lián)合國(guó)海洋法公約〉下國(guó)家管轄范圍以外區(qū)域海洋生物多樣性的養(yǎng)護(hù)和可持續(xù)利用協(xié)定》第2 條。這一目標(biāo)包含養(yǎng)護(hù)海洋生物多樣性和可持續(xù)利用海洋生物多樣性兩個(gè)方面。風(fēng)險(xiǎn)預(yù)防方法作為一種“軟”方法，適用具有彈性，能兼顧環(huán)境利益與社會(huì)經(jīng)濟(jì)利益。因此，風(fēng)險(xiǎn)預(yù)防方法可以在預(yù)防環(huán)境損害的同時(shí)，不完全禁止利用海洋，可以實(shí)現(xiàn)《BBNJ 協(xié)定》目標(biāo)的兩個(gè)方面。而風(fēng)險(xiǎn)預(yù)防原則通常表現(xiàn)為禁止性規(guī)定，能夠預(yù)防環(huán)境損害風(fēng)險(xiǎn)，但會(huì)影響對(duì)海洋的利用，不利于《BBNJ 協(xié)定》目標(biāo)的實(shí)現(xiàn)。

綜上，雖然《BBNJ 協(xié)定》采用了選擇適用“風(fēng)險(xiǎn)預(yù)防方法”或“風(fēng)險(xiǎn)預(yù)防原則”的方式，規(guī)避了談判中關(guān)于采用“風(fēng)險(xiǎn)預(yù)防原則”還是“風(fēng)險(xiǎn)預(yù)防方法”的分歧，但各國(guó)基于自身立場(chǎng)和對(duì)條文理解的差異，適用“風(fēng)險(xiǎn)預(yù)防方法”還是“風(fēng)險(xiǎn)預(yù)防原則”的矛盾并沒(méi)有被實(shí)質(zhì)解決。風(fēng)險(xiǎn)預(yù)防方法具有靈活性、法律性質(zhì)明晰，兼顧環(huán)境利益與社會(huì)經(jīng)濟(jì)利益等特點(diǎn)，有益于實(shí)現(xiàn)《BBNJ 協(xié)定》的目標(biāo)。因此，在實(shí)踐中應(yīng)選擇適用“風(fēng)險(xiǎn)預(yù)防方法”而非“風(fēng)險(xiǎn)預(yù)防原則”。一般原則和方法對(duì)《BBNJ協(xié)定》其他部分條款的解釋和適用具有普遍的指導(dǎo)意義。選擇適用“風(fēng)險(xiǎn)預(yù)防原則”還是“風(fēng)險(xiǎn)預(yù)防方法”，會(huì)影響《BBNJ 協(xié)定》劃區(qū)管理工具部分以及環(huán)境影響評(píng)價(jià)中條款的適用。

四、劃區(qū)管理工具中的風(fēng)險(xiǎn)預(yù)防方法與中國(guó)參與

包括海洋保護(hù)區(qū)在內(nèi)的劃區(qū)管理工具是2011 年商定的《BBNJ 協(xié)定》談判的四個(gè)關(guān)鍵議題之一。劃區(qū)管理工具是保護(hù)海洋生物多樣性的關(guān)鍵工具，目的在于通過(guò)對(duì)不同區(qū)域采取不同的養(yǎng)護(hù)措施，保護(hù)和恢復(fù)生物多樣性和生態(tài)系統(tǒng)?！禕BNJ協(xié)定》中劃區(qū)管理工具部分涉及風(fēng)險(xiǎn)預(yù)防方法的條款有第19 條第3 款、第24 條以及第26 條。

（一）劃區(qū)管理工具的提案

《BBNJ 協(xié)定》第19 條第3 款指出擬定提案時(shí)應(yīng)立足最佳可得科學(xué)（the best available science）和科學(xué)信息以及在可獲得的情況下，土著人民和當(dāng)?shù)厣鐓^(qū)的相關(guān)傳統(tǒng)知識(shí)，同時(shí)考慮到風(fēng)險(xiǎn)預(yù)防方法和生態(tài)系統(tǒng)辦法。47《〈聯(lián)合國(guó)海洋法公約〉下國(guó)家管轄范圍以外區(qū)域海洋生物多樣性的養(yǎng)護(hù)和可持續(xù)利用協(xié)定》第19 條。在談判中，各方對(duì)提案中適用風(fēng)險(xiǎn)預(yù)防方法還是風(fēng)險(xiǎn)預(yù)防原則存在分歧。48同前注14，IISD。中國(guó)支持風(fēng)險(xiǎn)預(yù)防方法在劃區(qū)管理工具條款中的適用。49IISD, Summary Report of 25 March — 5 April 2019, 2nd Session of the Intergovernmental Conference on an International Legally Binding Instrument under the UN Convention on the Law of the Sea on the Conservation and Sustainable Use of Marine Biodiversity of Areas Beyond National Jurisdiction, Earth Negotiations Bulletin (8 April 2019), https://enb.iisd.org/events/2nd-session-intergovernmental-conference-igc-conservation-andsustainable-use-marine/summary.

在擬定提案時(shí)適用風(fēng)險(xiǎn)預(yù)防方法有助于實(shí)現(xiàn)劃區(qū)管理工具的目標(biāo)，即通過(guò)建立包括具有生態(tài)代表性和良好連通性的海洋保護(hù)區(qū)網(wǎng)絡(luò)在內(nèi)的劃區(qū)管理工具綜合系統(tǒng)，養(yǎng)護(hù)和可持續(xù)利用需要保護(hù)的區(qū)域。50《〈聯(lián)合國(guó)海洋法公約〉下國(guó)家管轄范圍以外區(qū)域海洋生物多樣性的養(yǎng)護(hù)和可持續(xù)利用協(xié)定》第17 條。根據(jù)《BBNJ 協(xié)定》，在擬定提案時(shí)，應(yīng)制定劃區(qū)管理工具的管理計(jì)劃草案。管理計(jì)劃草案具體包括：擬議措施以及為實(shí)現(xiàn)具體目標(biāo)將開(kāi)展的監(jiān)測(cè)、研究和審查活動(dòng)的概述。此處的管理計(jì)劃應(yīng)根據(jù)需保護(hù)區(qū)域的生物多樣性狀況、海洋環(huán)境以及養(yǎng)護(hù)目標(biāo)等因素制定。以國(guó)家管轄范圍以外區(qū)域海洋保護(hù)區(qū)為例。國(guó)家管轄范圍以外區(qū)域海洋保護(hù)區(qū)是通過(guò)在公海和國(guó)際海底區(qū)域的特定海域采取對(duì)特定人類活動(dòng)的限制，以達(dá)到長(zhǎng)期保護(hù)海洋生態(tài)環(huán)境和養(yǎng)護(hù)生物資源的目的。51王金鵬：《國(guó)家管轄范圍外海洋保護(hù)區(qū)治理的國(guó)際合作與協(xié)調(diào)》，載《武大國(guó)際法評(píng)論》2022 年第6 期，第66 頁(yè)。如果在設(shè)立海洋保護(hù)區(qū)的提案中適用風(fēng)險(xiǎn)預(yù)防原則，其作為一個(gè)具有禁止性的規(guī)定，可能會(huì)導(dǎo)致該區(qū)域被封閉，不僅會(huì)限制人類的特定活動(dòng)，甚至?xí)勾祟惢顒?dòng)。這與《聯(lián)合國(guó)海洋法公約》（United Nations Convention on the Law of the Sea）所倡導(dǎo)的公海自由原則相沖突。而具有靈活性的風(fēng)險(xiǎn)預(yù)防方法，在適用時(shí)可以根據(jù)人類活動(dòng)對(duì)海洋環(huán)境的損害程度，對(duì)特定行為進(jìn)行限制，兼顧對(duì)特定區(qū)域的保護(hù)與利用。因此，在劃區(qū)管理工具提案中適用風(fēng)險(xiǎn)預(yù)防方法能夠兼顧海洋生物多樣性的養(yǎng)護(hù)與可持續(xù)利用。

中國(guó)在海管局的實(shí)踐表明中國(guó)支持在國(guó)際海底治理中適用風(fēng)險(xiǎn)預(yù)防方法管理和預(yù)防海洋環(huán)境損害風(fēng)險(xiǎn)。2011 年，為保護(hù)克拉里昂-克利珀頓區(qū)（Clarion-Clipperton Zone，以下簡(jiǎn)稱“CC 區(qū)”）生物多樣性結(jié)構(gòu)和生態(tài)功能不受人類活動(dòng)的潛在影響，海管局法律和技術(shù)委員會(huì)提出了區(qū)域環(huán)境管理計(jì)劃，計(jì)劃中包含由9個(gè)特別環(huán)境利益區(qū)（Areas of particular environmental interest）構(gòu)成的網(wǎng)絡(luò)，要求實(shí)施風(fēng)險(xiǎn)預(yù)防方法。中國(guó)對(duì)這一計(jì)劃表示支持并認(rèn)為區(qū)域環(huán)境管理計(jì)劃對(duì)環(huán)境管理具有重要作用，并且支持制定區(qū)域環(huán)境管理計(jì)劃指南。此外，中國(guó)在南極海洋保護(hù)區(qū)的實(shí)踐中認(rèn)為適用風(fēng)險(xiǎn)預(yù)防方法需要基于一定的科學(xué)證據(jù)。在2014 年圍繞南極羅斯海海洋保護(hù)區(qū)進(jìn)行談判時(shí)，中國(guó)提出了建立海洋保護(hù)區(qū)適用風(fēng)險(xiǎn)預(yù)防方法的前提條件，即風(fēng)險(xiǎn)預(yù)防方法的適用必須基于科學(xué)證據(jù)。52CCAMLR, Report of the Thirty-Third Meeting of the Commission, CCAMLR website(November 2014), https://www.ccamlr.org/en/system/files/e-cc-xxxiii.pdf, para. 7, 69.

綜上，風(fēng)險(xiǎn)預(yù)防方法的靈活性能夠結(jié)合具體的劃區(qū)管理工具的類型，區(qū)別采用風(fēng)險(xiǎn)預(yù)防措施，在減少制定的養(yǎng)護(hù)措施對(duì)海洋生態(tài)環(huán)境造成的損害的同時(shí)兼顧社會(huì)經(jīng)濟(jì)效益，符合可持續(xù)發(fā)展的理念。而風(fēng)險(xiǎn)預(yù)防原則作為“硬性”的規(guī)定，可以導(dǎo)致特定區(qū)域的封閉，影響各國(guó)對(duì)海洋的利用。在實(shí)踐中，中國(guó)支持基于科學(xué)證據(jù)適用風(fēng)險(xiǎn)預(yù)防方法。

（二）作為緊急措施的劃區(qū)管理工具

《BBNJ 協(xié)定》第24 條第3 款規(guī)定，在緊急情況下采取的措施應(yīng)基于最佳可得科學(xué)和科學(xué)信息，以及在可獲得的情況下，土著人民和當(dāng)?shù)厣鐓^(qū)的相關(guān)傳統(tǒng)知識(shí)，并考慮風(fēng)險(xiǎn)預(yù)防方法。此類措施可由締約方提議或由科學(xué)和技術(shù)機(jī)構(gòu)建議，并可在閉會(huì)期間通過(guò)。這些措施應(yīng)是臨時(shí)性的，必須在通過(guò)后由締約方大會(huì)下一次會(huì)議重新審議以作出決定。53《〈聯(lián)合國(guó)海洋法公約〉下國(guó)家管轄范圍以外區(qū)域海洋生物多樣性的養(yǎng)護(hù)和可持續(xù)利用協(xié)定》第24 條。緊急措施是應(yīng)對(duì)突發(fā)事件的臨時(shí)性措施，被用來(lái)應(yīng)對(duì)水下火山噴發(fā)、海底滑坡等突發(fā)事件。54IISD, Daily Report for 19 August 2022, Earth Negotiations Bulletin (22 August 2022),https://enb.iisd.org/sites/default/files/2022-08/enb25235e.pdf.

緊急措施是否適用于《BBNJ 協(xié)定》在第五次政府間會(huì)議開(kāi)始被著重討論。55同前注32, IISD。第五次政府間會(huì)議續(xù)會(huì)期間，各方總體上贊同在劃區(qū)管理工具部分設(shè)置緊急措施條款，并重點(diǎn)討論了風(fēng)險(xiǎn)預(yù)防方法在緊急措施中的適用56IISD, Daily Report for 28 February 2023, Resumed 5th Session of the Intergovernmental Conference (IGC) on BBNJ, Earth Negotiations Bulletin (1 March 2023), https://enb.iisd.org/marine-biodiversity-beyond-national-jurisdiction-bbnj-igc5-resumed-daily-report-28feb2023.以及緊急措施的閾值等。57同前注32, IISD。緊急措施適用的閾值是“造成嚴(yán)重或不可挽回的損害”，即某一自然現(xiàn)象或人為災(zāi)害已經(jīng)或可能對(duì)國(guó)家管轄范圍以外區(qū)域海洋生物多樣性造成嚴(yán)重或不可挽回的損害。在適用緊急措施時(shí)要基于現(xiàn)有最佳科學(xué)和科學(xué)信息，最佳科學(xué)證據(jù)能為緊急措施的制定提供可用的信息和數(shù)據(jù)，以達(dá)到緊急措施預(yù)防和減少損害的目的。

風(fēng)險(xiǎn)預(yù)防方法能避免臨時(shí)性的緊急措施對(duì)海洋環(huán)境造成嚴(yán)重或不可逆的損害。緊急措施往往是為應(yīng)對(duì)緊急情況設(shè)立的，以預(yù)防或減少自然現(xiàn)象或人為災(zāi)害對(duì)海洋環(huán)境造成的突然影響。因此，緊急措施實(shí)施時(shí)可能產(chǎn)生具有不確定性的環(huán)境損害風(fēng)險(xiǎn)。風(fēng)險(xiǎn)預(yù)防方法能夠謹(jǐn)慎管理風(fēng)險(xiǎn)，靈活應(yīng)對(duì)緊急措施可能導(dǎo)致的環(huán)境損害。在實(shí)踐中，也存在緊急措施應(yīng)用的情況。例如海管局制定的《“區(qū)域”內(nèi)礦物資源開(kāi)發(fā)規(guī)章草案》（Draft Regulations on Exploitation of Mineral Resources in the Area）第28 條規(guī)定了商業(yè)采礦過(guò)程中所實(shí)施的緊急措施，指出深海海底商業(yè)采礦過(guò)程中，在海洋環(huán)境可能受到損害或嚴(yán)重?fù)p害威脅的情況下，需要減少或停止生產(chǎn)時(shí)，承包者應(yīng)暫時(shí)減少或暫停生產(chǎn)。58《“區(qū)域”內(nèi)礦物資源開(kāi)發(fā)規(guī)章草案》第28（3）條?？梢?jiàn)，在商業(yè)采礦過(guò)程中如果海洋環(huán)境受到損害或嚴(yán)重?fù)p害威脅，需要及時(shí)減少或暫停，以保護(hù)海洋環(huán)境。

（三）劃區(qū)管理工具養(yǎng)護(hù)措施的調(diào)整

《BBNJ 協(xié)定》第26 條監(jiān)測(cè)和審查的第5 款指出調(diào)整劃區(qū)管理工具的養(yǎng)護(hù)措施時(shí)應(yīng)適用風(fēng)險(xiǎn)預(yù)防方法。具體而言，修訂、延長(zhǎng)或撤銷養(yǎng)護(hù)措施時(shí)，應(yīng)考慮到風(fēng)險(xiǎn)預(yù)防方法和生態(tài)系統(tǒng)辦法。調(diào)整養(yǎng)護(hù)措施的原因是現(xiàn)有養(yǎng)護(hù)措施已不適宜需要保護(hù)的區(qū)域，為實(shí)現(xiàn)養(yǎng)護(hù)和可持續(xù)利用的目標(biāo)，需要結(jié)合特定區(qū)域的恢復(fù)狀況以及氣候變化、海洋酸化等自然條件的變化及時(shí)調(diào)整養(yǎng)護(hù)措施。為實(shí)現(xiàn)劃區(qū)管理工具的養(yǎng)護(hù)目標(biāo)，需要根據(jù)監(jiān)測(cè)和定期審查的結(jié)果，及時(shí)調(diào)整養(yǎng)護(hù)措施。簡(jiǎn)言之，調(diào)整養(yǎng)護(hù)措施即保持某一區(qū)域養(yǎng)護(hù)措施的有效性。保持養(yǎng)護(hù)措施的有效性，需要根據(jù)不同區(qū)域的海洋生態(tài)特征進(jìn)行調(diào)整。

風(fēng)險(xiǎn)預(yù)防方法具有靈活性，在調(diào)整養(yǎng)護(hù)措施時(shí)適用風(fēng)險(xiǎn)預(yù)防方法，其可以根據(jù)養(yǎng)護(hù)措施調(diào)整的具體方案，及時(shí)調(diào)整風(fēng)險(xiǎn)預(yù)防措施。另一方面，風(fēng)險(xiǎn)預(yù)防方法兼顧環(huán)境利益和社會(huì)經(jīng)濟(jì)利益，更符合可持續(xù)發(fā)展理念，調(diào)整養(yǎng)護(hù)措施時(shí)適用風(fēng)險(xiǎn)預(yù)防方法，可以考慮到各國(guó)科學(xué)技術(shù)能力、經(jīng)濟(jì)以及社會(huì)條件，采取符合成本效益的方式，避免增加成本。由于物種分布隨年度周期而變化，年度內(nèi)和永久性封閉通常針對(duì)平均條件，而季節(jié)性封閉則針對(duì)最受關(guān)注的時(shí)間段。59Guillermo Ortuno Crespo, et al., Beyond Static Spatial Management: Scientific and Legal Considerations for Dynamic Management in the High Seas, Marine Policy, Vol. 122, p. 5(2020).風(fēng)險(xiǎn)預(yù)防方法可以結(jié)合該保護(hù)區(qū)的周期變化調(diào)整風(fēng)險(xiǎn)預(yù)防措施，避免該區(qū)域的過(guò)度封閉。

中國(guó)在海管局的實(shí)踐體現(xiàn)了支持適用風(fēng)險(xiǎn)預(yù)防方法。海管局制定了CC 區(qū)的區(qū)域環(huán)境管理計(jì)劃，旨在保護(hù)整個(gè)地區(qū)的生物多樣和生態(tài)系統(tǒng)結(jié)構(gòu)和功能。60ISA, Environmental management plan for the Clarion-Clipperton Zone, ISA website (15 March 2023), https://www.isa.org.jm/protection-of-the-marine-environment/regionalenvironmental-management-plans/ccz/.深海采礦計(jì)劃往往在生態(tài)和敏感性不為人知的地方展開(kāi)，這導(dǎo)致在估計(jì)影響和建立管理活動(dòng)方面存在很大的不確定性，風(fēng)險(xiǎn)預(yù)防方法是應(yīng)對(duì)這種不確定性的關(guān)鍵工具。61Daniel O. B. Jones, et al., Existing Environmental Management Approaches Relevant to Deep-Sea Mining, Marine Policy, Vol. 103, p. 172-181 (2019).CC 區(qū)的區(qū)域環(huán)境管理計(jì)劃（Regional Environmental Management Plan）開(kāi)始涵蓋9 個(gè)特別環(huán)境利益區(qū)。2021 年為增強(qiáng)特別環(huán)境利益區(qū)網(wǎng)絡(luò)，海管局計(jì)劃新增四個(gè)特別環(huán)境利益區(qū)。中國(guó)贊同新增特別環(huán)境利益區(qū)，并支持適用風(fēng)險(xiǎn)預(yù)防方法。這體現(xiàn)了中國(guó)支持在調(diào)整養(yǎng)護(hù)措施時(shí)適用風(fēng)險(xiǎn)預(yù)防方法。此外，中國(guó)在南極海洋保護(hù)區(qū)的實(shí)踐也體現(xiàn)了重視風(fēng)險(xiǎn)預(yù)防方法的態(tài)度。2018 年中國(guó)提出了關(guān)于改進(jìn)羅斯海海洋保護(hù)區(qū)研究和監(jiān)測(cè)計(jì)劃草案的提案，中國(guó)認(rèn)為研究和監(jiān)測(cè)計(jì)劃對(duì)海洋保護(hù)區(qū)開(kāi)發(fā)和發(fā)展至關(guān)重要，需要調(diào)整在海洋保護(hù)區(qū)的監(jiān)測(cè)方案。62Delegation of the People’s Republic of China, Proposal to improve the Draft Research and Monitoring Plan for the Ross Sea region Marine Protected Area, CCAMLR (October 2019), https://meetings.ccamlr.org/en/sc-camlr-38/21.監(jiān)測(cè)可以為適用風(fēng)險(xiǎn)預(yù)防方法或?qū)M在南極開(kāi)展的活動(dòng)進(jìn)行環(huán)境影響評(píng)價(jià)提供科學(xué)證據(jù)。這一關(guān)于調(diào)整養(yǎng)護(hù)措施的提案表明中國(guó)在實(shí)踐中謹(jǐn)慎管理環(huán)境損害風(fēng)險(xiǎn)，重視風(fēng)險(xiǎn)預(yù)防方法在調(diào)整養(yǎng)護(hù)措施中的應(yīng)用。

（四）小結(jié)

劃區(qū)管理工具部分適用風(fēng)險(xiǎn)預(yù)防方法具有重要意義。劃區(qū)管理工具包括多種管理形式，在實(shí)踐中建立劃區(qū)管理工具需要立足現(xiàn)有最佳科學(xué)，評(píng)估需要保護(hù)區(qū)域的生態(tài)系統(tǒng)、棲息地和種群等潛在風(fēng)險(xiǎn)和威脅，衡量不同海域生態(tài)的獨(dú)特性、敏感性、脆弱性等各方面的因素，選擇最佳的形式保護(hù)和恢復(fù)需要保護(hù)區(qū)域的生態(tài)狀況。在擬定提案、制定或調(diào)整養(yǎng)護(hù)措施時(shí)適用風(fēng)險(xiǎn)預(yù)防方法，能夠綜合目前海洋科學(xué)和技術(shù)的發(fā)展水平，社會(huì)經(jīng)濟(jì)條件等各方面的因素，應(yīng)對(duì)海洋酸化、氣候變化、科研和資源的勘探開(kāi)發(fā)活動(dòng)對(duì)海洋環(huán)境和生物種群的不確定性損害風(fēng)險(xiǎn)。在《BBNJ 協(xié)定》的實(shí)施中，因風(fēng)險(xiǎn)預(yù)防方法具有靈活性，能根據(jù)需要保護(hù)區(qū)域的生態(tài)特征、恢復(fù)狀況等因素，及時(shí)應(yīng)對(duì)調(diào)整養(yǎng)護(hù)措施帶來(lái)的不確定性風(fēng)險(xiǎn)。由于海洋環(huán)境具有動(dòng)態(tài)特征，某一區(qū)域中的生物資源并非平均分布，其會(huì)根據(jù)季節(jié)變化、洋流、食物等因素在海洋中移動(dòng)，或因氣候變化向高緯度洄游。63同前注59，Guillermo Ortuno Crespo, et al., p. 1-10。風(fēng)險(xiǎn)預(yù)防方法會(huì)根據(jù)監(jiān)測(cè)的具體數(shù)據(jù)，調(diào)整特定區(qū)域的封閉或開(kāi)放，而并非僵化的完全封閉，平衡對(duì)海洋生物多樣性的養(yǎng)護(hù)與利用。

五、環(huán)境影響評(píng)價(jià)中的風(fēng)險(xiǎn)預(yù)防方法與中國(guó)參與

環(huán)境影響評(píng)價(jià)（Environmental impact assessment）是被國(guó)際社會(huì)廣泛接受的一項(xiàng)基本義務(wù)。64Alex G. Oude Elferink, Environmental Impact Assessment in Areas beyond National Jurisdiction, The International Journal of Marine and Coastal Law, Vol. 27:2, p. 449 (2012).《聯(lián)合國(guó)海洋法公約》第204 條、第 205 條和第 206 條分別涉及“對(duì)污染危險(xiǎn)或影響的監(jiān)測(cè)”“報(bào)告的發(fā)表”“對(duì)各種活動(dòng)可能的影響進(jìn)行評(píng)價(jià)”。國(guó)際法院在“烏拉圭河紙漿廠”案（阿根廷訴烏拉圭）的判決中確認(rèn)了環(huán)境影響評(píng)價(jià)是習(xí)慣國(guó)際法規(guī)定的一般義務(wù)。65ICJ, Case concerning Pulp Mills on the River Uruguay (Argentina v. Uruguay), Judgement of 2010, para. 204.《生物多樣性公約》（Convention on Biological Diversity）第14 條將環(huán)境影響評(píng)價(jià)與避免或減少環(huán)境損害聯(lián)系起來(lái)。66《生物多樣性公約》第14 條。為了實(shí)現(xiàn)養(yǎng)護(hù)和可持續(xù)利用海洋生物多樣性的目標(biāo)，《BBNJ 協(xié)定》將環(huán)境影響評(píng)價(jià)作為核心部分之一?！禕BNJ 協(xié)定》中環(huán)境影響評(píng)價(jià)部分涉及風(fēng)險(xiǎn)預(yù)防方法的條款主要有第30 條門(mén)檻和因素、第34 條決策、第35 條監(jiān)測(cè)授權(quán)活動(dòng)的影響、第38條科學(xué)和技術(shù)機(jī)構(gòu)應(yīng)制定的與環(huán)境影響評(píng)價(jià)有關(guān)標(biāo)準(zhǔn)和準(zhǔn)則等。以下討論環(huán)境影響評(píng)價(jià)的門(mén)檻、決策以及監(jiān)測(cè)授權(quán)活動(dòng)的影響三個(gè)體現(xiàn)風(fēng)險(xiǎn)預(yù)防方法的具體條款。

（一）環(huán)境影響評(píng)價(jià)的門(mén)檻

《BBNJ 協(xié)定》第30 條規(guī)定了進(jìn)行環(huán)境影響評(píng)價(jià)的門(mén)檻和因素。該條指出，如果計(jì)劃活動(dòng)對(duì)海洋環(huán)境產(chǎn)生的影響可能超出輕微或短暫的程度，或者活動(dòng)的影響未知或知之甚少，管轄或控制該活動(dòng)的締約方應(yīng)對(duì)該活動(dòng)進(jìn)行篩選?！禕BNJ 協(xié)定》采用了分層的方式規(guī)定環(huán)境影響評(píng)價(jià)的門(mén)檻。67IISD, Daily Report for 2 March 2023, Resumed 5th Session of the Intergovernmental Conference (IGC) on BBNJ, Earth Negotiations Bulletin (3 March 2023), https://enb.iisd.org/marine-biodiversity-beyond-national-jurisdiction-bbnj-igc5-resumed-daily-report-2mar2023.“超過(guò)輕微或短暫”的活動(dòng)需要進(jìn)行篩選，篩選是環(huán)境影響評(píng)價(jià)程序的第一步，其主要作用是通過(guò)篩選確定計(jì)劃的活動(dòng)是否需要進(jìn)行環(huán)境影響評(píng)價(jià)。篩選時(shí)應(yīng)立足現(xiàn)有最佳科學(xué)和科學(xué)信息，充分考量各方面的因素，評(píng)估計(jì)劃的活動(dòng)是否可能對(duì)海洋環(huán)境造成重大污染或重大有害變化?？赡茉斐芍卮笪廴净蛑卮笥泻ψ兓幕顒?dòng)應(yīng)進(jìn)行環(huán)境影響評(píng)價(jià)。

這一規(guī)定體現(xiàn)了對(duì)環(huán)境損害風(fēng)險(xiǎn)的謹(jǐn)慎管理，以防止計(jì)劃的活動(dòng)對(duì)海洋環(huán)境造成嚴(yán)重或不可逆的損害。該條規(guī)定對(duì)“活動(dòng)效應(yīng)未知或知之甚少”的活動(dòng)進(jìn)行篩選，體現(xiàn)了對(duì)具有不確定性影響的活動(dòng)的謹(jǐn)慎管理，符合風(fēng)險(xiǎn)預(yù)防內(nèi)涵包括的科學(xué)不確定性、環(huán)境損害風(fēng)險(xiǎn)以及采取措施三個(gè)基本內(nèi)涵。此外，《BBNJ 協(xié)定》將環(huán)境影響評(píng)價(jià)的門(mén)檻設(shè)置為分層的形式，一定程度上體現(xiàn)了靈活性以及符合成本效益的理念。《BBNJ 協(xié)定》在一般原則和方法部分規(guī)定了選擇適用風(fēng)險(xiǎn)預(yù)防方法或風(fēng)險(xiǎn)預(yù)防原則，結(jié)合環(huán)境影響評(píng)價(jià)規(guī)定的門(mén)檻來(lái)講，適用風(fēng)險(xiǎn)預(yù)防方法對(duì)環(huán)境影響評(píng)價(jià)的過(guò)程具有現(xiàn)實(shí)意義。

在實(shí)踐中，對(duì)擬開(kāi)展的活動(dòng)進(jìn)行環(huán)境影響評(píng)估首先需要判斷是否達(dá)到開(kāi)展環(huán)境影響評(píng)估的門(mén)檻。如果擬開(kāi)展活動(dòng)對(duì)海洋環(huán)境造成了可能”超出輕微或短暫“的影響，需按《BBNJ 協(xié)定》規(guī)定的要素進(jìn)行篩選。例如，篩選擬開(kāi)展活動(dòng)類型和使用的技術(shù)以及開(kāi)展方式、活動(dòng)持續(xù)時(shí)間、活動(dòng)地點(diǎn)、活動(dòng)可能影響等。根據(jù)篩選的結(jié)果判斷活動(dòng)是否可能對(duì)海洋環(huán)境造成重大污染或重大和有害變化。例如，擬開(kāi)展碳封存活動(dòng)，根據(jù)《BBNJ 協(xié)定》需要對(duì)其進(jìn)行環(huán)境影響評(píng)估。二氧化碳捕獲與封存（Carbon capture and storage, CCS）技術(shù)是通過(guò)除去大氣中的二氧化碳，應(yīng)對(duì)全球變暖的關(guān)鍵技術(shù)。68Douglas P. Connelly, et al., Assuring the Integrity of Offshore Carbon Dioxide Storage,Renewable and Sustainable Energy Reviews, Vol. 166, p. 1-9 (2022).二氧化的釋放可能會(huì)影響釋放地點(diǎn)以及附近的底棲生物群和海洋生態(tài)環(huán)境，主要受海底沉積物性質(zhì)的影響，泥沙受影響較大。69Anita Flohr, et al., Towards Improved Monitoring of Offshore Carbon Storage: A Realworld Field Experiment Detecting a Controlled Sub-seafloor CO2 Release, International Journal of Greenhouse Gas Control, Vol. 106, p. 1-20 (2021).對(duì)其開(kāi)展環(huán)境評(píng)價(jià)，需要綜合考慮建立海上平臺(tái)設(shè)施建立的地點(diǎn)、海底沉積物的性質(zhì)、二氧化碳釋放對(duì)海洋環(huán)境的影響等因素。風(fēng)險(xiǎn)預(yù)防方法的靈活性能綜合考慮碳封存活動(dòng)存在的環(huán)境損害風(fēng)險(xiǎn)與其帶來(lái)的社會(huì)效益。

《BBNJ 協(xié)定》規(guī)定的環(huán)境影響評(píng)價(jià)門(mén)檻與《關(guān)于環(huán)境保護(hù)的南極條約議定書(shū)》（The Protocol on Environmental Protection to the Antarctic Treaty，以下簡(jiǎn)稱“《馬德里議定書(shū)》”）相似?！恶R德里議定書(shū)》設(shè)置了分層的環(huán)境影響評(píng)價(jià)方式，并在附件一中制定了具體的評(píng)估程序：第一，初始階段。如果在評(píng)估的初始階段確定擬議活動(dòng)的影響小于輕微或短暫的影響，可活動(dòng)繼續(xù)，初步評(píng)估在國(guó)家層面進(jìn)行。70Tanya O’Neill, Protection of Antarctic Soil Environments: A Review of the Current Issues and Future Challenges for the Environmental Protocol, Environmental Science and Policy,Vol. 76, p. 156 (2017).第二，初步環(huán)境評(píng)價(jià)。如果確定某項(xiàng)活動(dòng)可能產(chǎn)生輕微或短暫的影響，則必須準(zhǔn)備初步環(huán)境影響評(píng)價(jià)。第三，全面環(huán)境評(píng)價(jià)。如果初步環(huán)境影響評(píng)價(jià)表明可能產(chǎn)生輕微或短暫的影響，或者如果以其他方式確定可能產(chǎn)生這種影響，則必須準(zhǔn)備全面環(huán)境影響評(píng)價(jià)。71《關(guān)于環(huán)境保護(hù)的南極條約議定書(shū)》附件一第2 條、第3 條。自2008 年以來(lái)，中國(guó)在南極展開(kāi)了多次的環(huán)境影響評(píng)價(jià)活動(dòng)，多為初步環(huán)境評(píng)價(jià)，僅有少數(shù)為全面環(huán)境評(píng)價(jià)。進(jìn)行全面環(huán)境評(píng)價(jià)的原因主要是建立科考站或運(yùn)行新設(shè)施。中國(guó)2008 年在南極建立昆侖站72Secretariat of the Antarctic Treaty, Final Comprehensive Environmental Evaluation of Proposed Construction and Operation of the new Chinese Dome A Station, ATS (24 March 2023), https://www.ats.aq/devAS/EP/EIAItemDetail/1221.以及在2013 年運(yùn)行新設(shè)施時(shí)均進(jìn)行了全面環(huán)境評(píng)價(jià)。73Secretariat of the Antarctic Treaty, Proposed Construction and Operation of a New Chinese Research Station, Victoria Land, Antarctica. Draft Comprehensive Environmental Evaluation, ATS (24 March 2023), https://www.ats.aq/devAS/EP/EIAItemDetail/156.中國(guó)在南極的活動(dòng)遵守了相關(guān)國(guó)際條約的規(guī)定，履行了環(huán)境影響評(píng)價(jià)義務(wù)，體現(xiàn)了中國(guó)對(duì)擬開(kāi)展活動(dòng)可能帶來(lái)的環(huán)境損害風(fēng)險(xiǎn)的審慎管理。

（二）決策

《BBNJ 協(xié)定》第34 條決策中指明，在根據(jù)本部分確定計(jì)劃活動(dòng)可否進(jìn)行時(shí)，應(yīng)充分考慮按照本部分進(jìn)行的環(huán)境影響評(píng)價(jià)。締約方僅應(yīng)在考慮到減輕或管理措施的情況下，確定其已作出一切合理努力，來(lái)確保該活動(dòng)能以符合防止對(duì)海洋環(huán)境造成重大不利影響的方式開(kāi)展時(shí)，就管轄或控制下的計(jì)劃活動(dòng)作出授權(quán)決定。74《〈聯(lián)合國(guó)海洋法公約〉下國(guó)家管轄范圍以外區(qū)域海洋生物多樣性的養(yǎng)護(hù)和可持續(xù)利用協(xié)定》第34 條。在BBNJ 談判中，各方對(duì)決策的分歧是環(huán)境影響評(píng)價(jià)由誰(shuí)主導(dǎo)的問(wèn)題。75IISD, Daily Report for 21 February 2023, Resumed 5th Session of the Intergovernmental Conference (IGC) on BBNJ, Earth Negotiations Bulletin (22 February 2023), https://enb.iisd.org/marine-biodiversity-beyond-national-jurisdiction-bbnj-igc5-resumed-daily-report-21feb2022.《BBNJ協(xié)定》確立了由國(guó)家主導(dǎo)的決策標(biāo)準(zhǔn)。

決策涉及應(yīng)當(dāng)由誰(shuí)實(shí)施風(fēng)險(xiǎn)預(yù)防方法的問(wèn)題。這一條款指出國(guó)家進(jìn)行計(jì)劃的活動(dòng)時(shí)，應(yīng)以環(huán)境影響評(píng)價(jià)的結(jié)果為基礎(chǔ)，防止對(duì)海洋環(huán)境造成重大不利影響。這體現(xiàn)了通過(guò)采取預(yù)防措施謹(jǐn)慎管理環(huán)境損害風(fēng)險(xiǎn)以防止計(jì)劃開(kāi)展的活動(dòng)對(duì)海洋環(huán)境造成重大或不可逆的環(huán)境損害，體現(xiàn)了風(fēng)險(xiǎn)預(yù)防的理念。《BBNJ 協(xié)定》一般方法和原則部分的規(guī)定對(duì)協(xié)定其他部分的實(shí)施具有指導(dǎo)意義?！禕BNJ 協(xié)定》適用風(fēng)險(xiǎn)預(yù)防方法或風(fēng)險(xiǎn)預(yù)防原則。由國(guó)家主導(dǎo)決策意味著國(guó)家選擇適用風(fēng)險(xiǎn)預(yù)防原則還是風(fēng)險(xiǎn)預(yù)防方法的結(jié)果會(huì)影響環(huán)境影響評(píng)價(jià)的決策。

中國(guó)國(guó)內(nèi)法關(guān)于環(huán)境影響評(píng)價(jià)的實(shí)踐體現(xiàn)了風(fēng)險(xiǎn)預(yù)防方法。中國(guó)2002 年通過(guò)的《中華人民共和國(guó)環(huán)境影響評(píng)價(jià)法》（以下簡(jiǎn)稱“《環(huán)境影響評(píng)價(jià)法》”）要求對(duì)規(guī)劃和建設(shè)項(xiàng)目進(jìn)行環(huán)境影響評(píng)價(jià)，以預(yù)防規(guī)劃和建設(shè)項(xiàng)目實(shí)施后對(duì)環(huán)境造成不良影響。76《中華人民共和國(guó)環(huán)境影響評(píng)價(jià)法》第7 條、第16 條。這表明中國(guó)重視通過(guò)環(huán)境影響評(píng)價(jià)的方式管理環(huán)境損害的風(fēng)險(xiǎn)。例如，核設(shè)施選址在辦理審批手續(xù)前需要編制環(huán)境影響評(píng)價(jià)報(bào)告書(shū)，核設(shè)施運(yùn)營(yíng)單位申請(qǐng)領(lǐng)取核設(shè)施建造、運(yùn)行許可證也應(yīng)當(dāng)編制環(huán)境影響評(píng)價(jià)報(bào)告書(shū)。此外，《防治海洋工程建設(shè)項(xiàng)目污染損害海洋環(huán)境管理?xiàng)l例》規(guī)定了海洋工程環(huán)境影響評(píng)價(jià)制度。該條例第8 條指出，海洋工程的環(huán)境影響評(píng)價(jià)，應(yīng)當(dāng)以工程對(duì)海洋環(huán)境和海洋資源的影響為重點(diǎn)進(jìn)行綜合分析、預(yù)測(cè)和評(píng)估，并提出相應(yīng)的生態(tài)保護(hù)措施，預(yù)防、控制或者減輕工程對(duì)海洋環(huán)境和海洋資源造成的影響和破壞。77《防治海洋工程建設(shè)項(xiàng)目污染損害海洋環(huán)境管理?xiàng)l例》第8 條。對(duì)海洋工程進(jìn)行環(huán)境影響評(píng)價(jià)的目的在于預(yù)防、控制和減輕工程造成的海洋環(huán)境損害，與風(fēng)險(xiǎn)預(yù)防方法內(nèi)涵的三個(gè)基本要素相符。據(jù)此，中國(guó)國(guó)內(nèi)法制定了綜合的環(huán)境影響評(píng)價(jià)制度，通過(guò)對(duì)擬進(jìn)行的活動(dòng)開(kāi)展環(huán)境影響評(píng)價(jià)，綜合控制環(huán)境損害風(fēng)險(xiǎn)，體現(xiàn)了中國(guó)對(duì)于環(huán)境損害風(fēng)險(xiǎn)的謹(jǐn)慎管理，也體現(xiàn)了風(fēng)險(xiǎn)預(yù)防方法的內(nèi)涵。

（三）監(jiān)測(cè)授權(quán)活動(dòng)的影響

《BBNJ 協(xié)定》第35 條監(jiān)測(cè)授權(quán)活動(dòng)的影響指出，締約方應(yīng)利用現(xiàn)有最佳科學(xué)和科學(xué)信息，在可獲得的情況下，土著人民和當(dāng)?shù)厣鐓^(qū)的相關(guān)傳統(tǒng)知識(shí)，不斷監(jiān)視其所準(zhǔn)許或從事的任何在國(guó)家管轄范圍以外區(qū)域的活動(dòng)的影響，以確定這些活動(dòng)是否可能對(duì)海洋環(huán)境造成污染或不利影響。據(jù)此，第35 條主要內(nèi)容是立足現(xiàn)有最佳科學(xué)和科學(xué)資料，通過(guò)不斷監(jiān)測(cè)授權(quán)活動(dòng)的影響，判斷在國(guó)家管轄范圍以外區(qū)域的活動(dòng)是否會(huì)污染海洋環(huán)境或?qū)ζ洚a(chǎn)生不利影響。持續(xù)性監(jiān)測(cè)是《BBNJ協(xié)定》為締約方設(shè)立的預(yù)防環(huán)境損害的義務(wù)，也是管理風(fēng)險(xiǎn)的一種方式，屬于風(fēng)險(xiǎn)預(yù)防措施。監(jiān)測(cè)能夠獲得科學(xué)信息和資料，為開(kāi)展環(huán)境影響評(píng)價(jià)活動(dòng)提供科學(xué)基礎(chǔ)，也能為風(fēng)險(xiǎn)預(yù)防的實(shí)施提供科學(xué)基礎(chǔ)。

從條文可知監(jiān)測(cè)的對(duì)象是締約方在國(guó)家管轄范圍以外區(qū)域開(kāi)展的任何活動(dòng)的影響。還需要考慮相關(guān)影響，如經(jīng)濟(jì)、社會(huì)、文化和人類健康影響。78《〈聯(lián)合國(guó)海洋法公約〉下國(guó)家管轄范圍以外區(qū)域海洋生物多樣性的養(yǎng)護(hù)和可持續(xù)利用協(xié)定》第35 條。以深海海底采礦為例，對(duì)深海海底采礦活動(dòng)進(jìn)行持續(xù)性監(jiān)測(cè)，既包括根據(jù)商定的生物指標(biāo)監(jiān)測(cè)深海海底采礦的影響，也包括監(jiān)測(cè)深海海底采礦產(chǎn)生的經(jīng)濟(jì)影響、社會(huì)影響等方面的相關(guān)影響。目前，人類對(duì)深海生態(tài)系統(tǒng)的結(jié)構(gòu)和功能以及采礦對(duì)生態(tài)系統(tǒng)影響的程度了解甚少。79Jennifer T. Le, Lisa A. Levin & Richard T. Carson, Incorporating Ecosystem Services into Environmental Management of Deep-seabed Mining, Deep Sea Research Part II: Topical Studies in Oceanography, Vol. 137, p. 486-503 (2017).深海海底采礦的潛在影響包括沉積物羽流擴(kuò)散、水質(zhì)變化、海底地球化學(xué)和物理性質(zhì)的變化等。80Jayden Hyman, Rodney A Stewart & Oz Sahin, Adaptive Management of Deep-seabed Mining Projects: A Systems Approach, Integrated Environmental Assessment and Management, Vol. 18:3, p. 674-681 (2022).風(fēng)險(xiǎn)預(yù)防方法能夠靈活應(yīng)對(duì)因?qū)ι詈ＵJ(rèn)識(shí)不足而導(dǎo)致的具有不確定性的環(huán)境損害風(fēng)險(xiǎn)。同時(shí)，因?yàn)轱L(fēng)險(xiǎn)預(yù)防方法兼顧環(huán)境利益與社會(huì)經(jīng)濟(jì)利益，所以在持續(xù)性監(jiān)測(cè)過(guò)程中也能考慮到深海海底采礦的經(jīng)濟(jì)影響及社會(huì)影響等相關(guān)影響。

中國(guó)在南極海洋保護(hù)區(qū)的實(shí)踐以及國(guó)內(nèi)的法律實(shí)踐反映了中國(guó)對(duì)于監(jiān)測(cè)的態(tài)度。研究和監(jiān)測(cè)計(jì)劃對(duì)海洋保護(hù)區(qū)的發(fā)展和實(shí)施至關(guān)重要。2018 年中國(guó)提交了關(guān)于改進(jìn)羅斯海海洋保護(hù)區(qū)（Ross Sea region Marine Protected Area）研究和監(jiān)測(cè)計(jì)劃草案的提案，表明中國(guó)重視在羅斯海海洋保護(hù)區(qū)開(kāi)展研究和監(jiān)測(cè)計(jì)劃81同前注62。。在中國(guó)的國(guó)內(nèi)法中，監(jiān)測(cè)也被用于保護(hù)環(huán)境。《環(huán)境影響評(píng)價(jià)法》《中華人民共和國(guó)深海海底資源勘探開(kāi)發(fā)法》（以下簡(jiǎn)稱“《深海法》”）以及《海洋環(huán)境保護(hù)法》中均體現(xiàn)了監(jiān)測(cè)的應(yīng)用?！董h(huán)境影響評(píng)價(jià)法》規(guī)定了建設(shè)項(xiàng)目環(huán)評(píng)報(bào)告書(shū)的內(nèi)容。環(huán)評(píng)報(bào)告書(shū)中應(yīng)包含環(huán)境監(jiān)測(cè)的建議。82《中華人民共和國(guó)環(huán)境影響評(píng)價(jià)法》第17 條。《深海法》也為承包者設(shè)定了定期向國(guó)務(wù)院海洋主管部門(mén)報(bào)告履行環(huán)境監(jiān)測(cè)的情況的義務(wù)。83《中華人民共和國(guó)深海海底區(qū)域資源勘探開(kāi)發(fā)法》第13 條?！逗Ｑ蟓h(huán)境保護(hù)法》也要求國(guó)家海洋行政主管部門(mén)會(huì)同有關(guān)部門(mén)組織全國(guó)海洋環(huán)境監(jiān)測(cè)、監(jiān)視網(wǎng)絡(luò)，定期評(píng)價(jià)海洋環(huán)境質(zhì)量。84《中華人民共和國(guó)海洋環(huán)境保護(hù)法》第14 條。這表明中國(guó)在實(shí)踐中采用監(jiān)測(cè)的方式預(yù)防和管理環(huán)境損害風(fēng)險(xiǎn)。

（四）小結(jié)

風(fēng)險(xiǎn)預(yù)防方法對(duì)環(huán)境影響評(píng)價(jià)更具有實(shí)際意義。相對(duì)于風(fēng)險(xiǎn)預(yù)防原則，風(fēng)險(xiǎn)預(yù)防方法具有靈活性，對(duì)擬開(kāi)展的活動(dòng)進(jìn)行環(huán)境影響評(píng)價(jià)，能夠兼顧環(huán)境利益和社會(huì)經(jīng)濟(jì)利益，符合可持續(xù)發(fā)展的理念。從環(huán)境影響評(píng)價(jià)的門(mén)檻來(lái)看，設(shè)置了分層的方式，具有靈活性，更符合風(fēng)險(xiǎn)預(yù)防方法的特征；從決策看，國(guó)家選擇適用風(fēng)險(xiǎn)預(yù)防方法或風(fēng)險(xiǎn)預(yù)防原則的結(jié)果會(huì)影響環(huán)境影響評(píng)價(jià)的決策；從監(jiān)測(cè)授權(quán)活動(dòng)的影響來(lái)看，風(fēng)險(xiǎn)預(yù)防方法更能兼顧社會(huì)影響、文化影響、經(jīng)濟(jì)影響等方面。

在實(shí)踐中，環(huán)境影響評(píng)價(jià)對(duì)保護(hù)海洋環(huán)境免受環(huán)境損害具有重要作用。為有效保護(hù)海洋環(huán)境，針對(duì)深海礦物勘探活動(dòng)，海管局采用了風(fēng)險(xiǎn)預(yù)防方法。海管局制定了專門(mén)的針對(duì)在“區(qū)域”內(nèi)開(kāi)展探礦活動(dòng)進(jìn)行環(huán)境影響評(píng)價(jià)的指南，即《指導(dǎo)承包者評(píng)估“區(qū)域”內(nèi)海洋礦物勘探活動(dòng)可能對(duì)環(huán)境造成影響的建議》（Recommendations for the guidance of contractors for the assessment of the possible environmental impacts arising from exploration for marine minerals in the Area）。在該建議中將在勘探期間進(jìn)行的活動(dòng)分為了不需要進(jìn)行環(huán)境影響評(píng)價(jià)的活動(dòng)以及需要進(jìn)行環(huán)境影響評(píng)價(jià)的活動(dòng)兩類。其一，勘探期間不需要進(jìn)行環(huán)境影響評(píng)價(jià)的活動(dòng)，即根據(jù)現(xiàn)有信息，一般認(rèn)為目前用于勘探的技術(shù)不會(huì)對(duì)海洋環(huán)境造成嚴(yán)重?fù)p害的活動(dòng)，如用于環(huán)境基線研究的海水、生物、沉積物和巖石采樣；其二，勘探期間需要進(jìn)行環(huán)境影響評(píng)價(jià)的活動(dòng)，即可能會(huì)對(duì)海洋環(huán)境產(chǎn)生嚴(yán)重?fù)p害的活動(dòng)，如試采（Test-mining）、利用船載鉆機(jī)進(jìn)行鉆探活動(dòng)（Drilling activities using on-board drilling rigs）。85ISA, Recommendations for the Guidance of Contractors for the Assessment of the Possible Environmental Impacts Arising from Exploration for Marine Minerals in the Area,ISBA/25/LTC/6/Rev.1, 1 March 2013, para. 32-33.在勘探期間，對(duì)產(chǎn)生嚴(yán)重環(huán)境損害的活動(dòng)進(jìn)行環(huán)境影響評(píng)價(jià)一方面體現(xiàn)了審慎管理風(fēng)險(xiǎn)的理念，另一方面減少了進(jìn)行環(huán)境影響評(píng)價(jià)的成本，考慮到了社會(huì)經(jīng)濟(jì)因素，符合經(jīng)濟(jì)效益，符合可持續(xù)發(fā)展理念。

中國(guó)支持環(huán)境影響評(píng)價(jià)在《BBNJ 協(xié)定》中的應(yīng)用。中國(guó)在國(guó)際海洋保護(hù)區(qū)的實(shí)踐以及國(guó)內(nèi)法實(shí)踐都體現(xiàn)了中國(guó)贊同通過(guò)環(huán)境影響評(píng)價(jià)制度保護(hù)海洋環(huán)境，防止或減少環(huán)境損害發(fā)生。從環(huán)境影響評(píng)價(jià)的門(mén)檻來(lái)講，雖然在2017 年《關(guān)于國(guó)家管轄范圍以外區(qū)域海洋生物多樣性養(yǎng)護(hù)和可持續(xù)利用問(wèn)題國(guó)際文書(shū)草案要素的書(shū)面意見(jiàn)》中，中國(guó)認(rèn)為環(huán)境影響評(píng)價(jià)的門(mén)檻應(yīng)為“有合理依據(jù)認(rèn)為”“可能造成重大污染或重大和有害變化”，在BBNJ 談判過(guò)程中，中國(guó)與其他各方代表對(duì)環(huán)境影響評(píng)價(jià)的門(mén)檻達(dá)成一致，贊同“超過(guò)輕微或短暫”的環(huán)境影響評(píng)價(jià)門(mén)檻。從決策來(lái)看，中國(guó)支持由國(guó)家主導(dǎo)而不是締約國(guó)大會(huì)主導(dǎo)的環(huán)境影響評(píng)價(jià)方式。從監(jiān)測(cè)來(lái)看，中國(guó)重視用監(jiān)測(cè)的方式保護(hù)海洋環(huán)境。中國(guó)在南極海洋保護(hù)區(qū)的實(shí)踐中提出要改善現(xiàn)有的南極研究和監(jiān)測(cè)計(jì)劃，并提交了相應(yīng)的提案。環(huán)境影響評(píng)價(jià)是在現(xiàn)有最佳科學(xué)證據(jù)的基礎(chǔ)上，評(píng)估計(jì)劃開(kāi)展的活動(dòng)的影響，以防止嚴(yán)重或不可逆的環(huán)境損害發(fā)生。環(huán)境影響評(píng)價(jià)對(duì)實(shí)現(xiàn)養(yǎng)護(hù)和可持續(xù)利用海洋生物多樣性的目標(biāo)具有重要意義。就《BBNJ 協(xié)定》的實(shí)施而言，中國(guó)應(yīng)倡導(dǎo)風(fēng)險(xiǎn)預(yù)防方法在實(shí)踐中的應(yīng)用。

六、結(jié) 論

由于海洋科學(xué)和技術(shù)仍處于發(fā)展階段，國(guó)際社會(huì)對(duì)于海洋生態(tài)的認(rèn)識(shí)和了解還不全面，人類活動(dòng)對(duì)海洋生態(tài)環(huán)境以及海洋生物多樣性的影響具有不確定性，存在環(huán)境損害的風(fēng)險(xiǎn)。風(fēng)險(xiǎn)預(yù)防方法具有科學(xué)不確定性、環(huán)境損害風(fēng)險(xiǎn)以及采取措施三個(gè)基本內(nèi)涵。風(fēng)險(xiǎn)預(yù)防方法和風(fēng)險(xiǎn)預(yù)防原則之間既有聯(lián)系也有區(qū)別。二者都具有避免環(huán)境損害風(fēng)險(xiǎn)的作用。相對(duì)于風(fēng)險(xiǎn)預(yù)防原則，風(fēng)險(xiǎn)預(yù)防方法具有法律性質(zhì)明晰、靈活性以及符合可持續(xù)發(fā)展理念的特點(diǎn)，因此風(fēng)險(xiǎn)預(yù)防方法在指導(dǎo)《BBNJ 協(xié)定》各部分實(shí)施時(shí)可兼顧海洋生物多樣性的養(yǎng)護(hù)與利用。為實(shí)現(xiàn)養(yǎng)護(hù)和實(shí)現(xiàn)國(guó)家管轄范圍以外區(qū)域海洋生物多樣性的當(dāng)前以及長(zhǎng)期養(yǎng)護(hù)和可持續(xù)利用的目的，《BBNJ 協(xié)定》應(yīng)將一般原則與方法中的“風(fēng)險(xiǎn)預(yù)防方法”或“風(fēng)險(xiǎn)預(yù)防原則”解釋為風(fēng)險(xiǎn)預(yù)防方法，這對(duì)劃區(qū)管理工具以及環(huán)境影響評(píng)價(jià)而言更具有實(shí)踐意義。

就一般原則和方法而言，選擇適用風(fēng)險(xiǎn)預(yù)防方法既能兼顧環(huán)境利益與社會(huì)經(jīng)濟(jì)利益，也能促進(jìn)《BBNJ 協(xié)定》與其他國(guó)際協(xié)定的協(xié)調(diào)統(tǒng)一。風(fēng)險(xiǎn)預(yù)防方法在劃區(qū)管理工具部分的適用，可以根據(jù)不同形式的劃區(qū)管理工具制定具有差異性的風(fēng)險(xiǎn)預(yù)防措施，以避免嚴(yán)重或不可逆的環(huán)境損害。風(fēng)險(xiǎn)預(yù)防方法在環(huán)境影響評(píng)價(jià)部分的適用，能綜合考慮擬開(kāi)展活動(dòng)的各方面的影響。

在中國(guó)視角下，風(fēng)險(xiǎn)預(yù)防方法具有實(shí)踐意義。中國(guó)在國(guó)內(nèi)法中也重視風(fēng)險(xiǎn)預(yù)防的適用，《深海法》中的有關(guān)條款體現(xiàn)了風(fēng)險(xiǎn)預(yù)防的理念，其對(duì)深海采礦活動(dòng)的監(jiān)測(cè)要求體現(xiàn)了對(duì)環(huán)境風(fēng)險(xiǎn)的謹(jǐn)慎管理。中國(guó)在海管局以及南極的實(shí)踐中也體現(xiàn)了對(duì)風(fēng)險(xiǎn)預(yù)防方法的支持。海管局在礦物資源勘探開(kāi)發(fā)活動(dòng)的管理中引入了風(fēng)險(xiǎn)預(yù)防方法，以預(yù)防深海海底采礦可能造成嚴(yán)重的或不可逆的環(huán)境損害；為保護(hù)海洋環(huán)境，海管局在CC 區(qū)區(qū)域環(huán)境管理計(jì)劃中的特別環(huán)境利益區(qū)以及新增特別環(huán)境利益區(qū)中也適用了風(fēng)險(xiǎn)預(yù)防方法。在南極羅斯海海洋保護(hù)區(qū)的提案中，中國(guó)認(rèn)為應(yīng)將現(xiàn)有最佳科學(xué)作為風(fēng)險(xiǎn)預(yù)防方法的適用條件，最佳科學(xué)可以為風(fēng)險(xiǎn)預(yù)防方法的實(shí)施提供所需的科學(xué)信息。

Application of the Precautionary Approach in the BBNJ Agreement from a Chinese Perspective

WANG Jinpeng, JIANG Wenqi*

Abstract: 2023 witnessed the adoption of theAgreementundertheUnited NationsConventionontheLawoftheSeaontheConservationandSustainable UseofMarineBiologicalDiversityofAreasBeyondNationalJurisdiction(hereinafter “BBNJAgreement”), which features the precautionary approach.This approach, in contrast to the precautionary principle, exhibits flexibility,legal clarity, and alignment with the principle of sustainable development. The precautionary approach, applicable to theBBNJAgreement, provides guidance for various States in their efforts to conserve and sustainably utilize marine biodiversity in situations characterized by scientific uncertainty. In its general principles and approaches, theBBNJAgreementunderscores the applicability of the precautionary approach or precautionary principle. The utilization of the precautionary approach is addressed in articles such as establishment of area-based management tools,emergency measures, and monitoring and review. Moreover, the Agreement also incorporates the precautionary approach in articles such as thresholds for conducting environmental impact assessments, decision-making, and monitoring of impacts of authorized activities. China, being a proponent of the application of the precautionary approach within theBBNJAgreement, has made active contributions to the formulation of relevant specific provisions.

Key Words: Precautionary approach; Precautionary principle; Agreement;Area-based management tool; Environmental impact assessment

* WANG Jinpeng, Associate Professor of Law School, Ocean University of China, Ph.D. in Law, E-mail: wangjinpeng@ouc.edu.cn; JIANG Wenqi, Law School, Ocean University of China.

?THE AUTHORS AND CHINA OCEANS LAW REVIEW

I. Introduction

The sea area in areas beyond national jurisdiction (hereinafter “ABNJ”)accounts for approximately two-thirds of the world’s oceans.1Robert Blasiak & Nobuyuki Yagi, Shaping an International Agreement on Marine Biodiversity beyond Areas of National Jurisdiction: Lessons from High Seas Fisheries,Marine Policy, Vol. 71, p. 210 (2016).As the capacity of human beings to exploit and utilize the oceans and seas has been growing in the wake of advances in marine science and technology, marine biodiversity in ABNJ is suffering from the impacts of human activities such as fisheries,shipping and the exploitation of mineral resources. Regrettably, the international community lacks effective mechanisms for managing and mitigating the decline in marine biodiversity despite these growing challenges.2Fran Humphries & Harriet Harden-Davies, Practical Policy Solutions for the Final Stage of BBNJ Treaty Negotiations, Marine Policy, Vol. 122, p. 1 (2020).To tackle this issue, the United Nations General Assembly, in its resolution 72/249, decided to convene an Intergovernmental Conference (hereinafter “IGC”) to elaborate the text of an internationally legally binding instrument on the conservation and sustainable use of marine biodiversity of ABNJ.3UNGA, Resolution Adopted by the General Assembly on 9 December 2017, A/RES/72/249,https://documents-dds-ny.un.org/doc/UNDOC/GEN/N17/468/77/PDF/N1746877.pdf?OpenElement.To date, there have been five IGCs held to discuss the four key issues encompassed in the “package of issues”, namely marine genetic resources (MGRs), area-based management tools (hereinafter “ABMTs”),environmental impact assessments (hereinafer “EIAs”), and capacity-building and the transfer of marine technology. These conferences took place in September 2018, March-April 2019, August 2019, March 2022, and August 2022, respectively.In February-March 2023, the resumed 5th session of the IGC was convened, during which theDraftAgreementundertheUnitedNationsConventionontheLawofthe SeaontheConservationandSustainableUseofMarineBiologicalDiversityof AreasBeyondNationalJurisdiction(hereinafter “BBNJAgreement”) was adopted.4UN, UN Delegates Reach Historic Agreement on Protecting Marine Biodiversity in International Waters, UN News (5 March 2023), https://news.un.org/en/story/2023/03/1134157.TheBBNJAgreementwas formally adopted on 19 June 2023, and will open for signature on 20 September 2023.5Press Release: Historic agreement adopted at the UN for conservation and sustainable use of biodiversity in over two-thirds of the ocean, UN wenbsite (19 June 2023), https://www.un.org/sustainabledevelopment/blog/2023/06/press-release-historic-agreement-adoptedat-the-un-for-conservation-and-sustainable-use-of-biodiversity-in-over-two-thirds-of-theocean/.

To achieve the goal of conservation and sustainable use of marine biodiversity of ABNJ, theBBNJAgreementincorporates the application of the precautionary approach in several of its sections, including Part I concerning principles and approaches, Part III concerning ABMTs, and Part IV concerning EIAs. The precautionary approach is a concept within international environmental law and holds significant relevance for the protection of the marine environment and the conservation of resources. For instance, the International Seabed Authority(hereinafter “ISA”) has incorporated the precautionary approach into theDraft RegulationsonExploitationofMineralResourcesintheAreain order to regulate exploitation activities and protect the marine environment from harmful impacts associated with such activities.6Art. 2 of Draft Regulations on Exploitation of Mineral Resources in the Area.The Draft Regulations, in its Article 2(e)(ii) and Article 44(a), specifically mention the application of the precautionary approach.Meanwhile, the Seabed Disputes Chamber of the International Tribunal for the Law of the Sea (hereinafter “ITLOS”) has highlighted in the Advisory Opinion on the Responsibilities and Obligations of States Sponsoring Persons and Entities with Respect to Activities in the Area that, both sponsoring States and ISA are under an obligation to apply the precautionary approach.7ITLOS, Responsibilities and Obligations of States Sponsoring Persons, and Entities with Respect to Activities in the Area, Advisory Opinion of 1 February 2011, para. 131.Given the dynamic and complex nature of the marine ecosystem in ABNJ,8Supra note2, Fran Humphries & Harriet Harden-Davies, p. 3.the international community has an incomplete understanding of the marine biodiversity and ecosystems in ABNJ.9Elizabeth M. De Santo, et al., Protecting Biodiversity in Areas beyond National Jurisdiction:An Earth System Governance Perspective, Earth System Governance, Vol. 2, p. 2 (2019).There is also uncertainty surrounding the impacts of human activities on the marine environment and biodiversity in these areas. It is therefore necessary to adopt the precautionary approach to minimize or avoid the potential adverse effects of human activities on the marine ecosystem.

During the IGCs on theBBNJAgreement, the application of the precautionary approach was a subject of multiple discussions among government parties. The main point of contention revolved around whether theBBNJAgreementshould employ the “precautionary approach” or the “precautionary principle”. During the resumed 5th session of the IGC, there was a significant focus on whether emergency measures within ABMTs should be subject to the precaution. TheBBNJ Agreementthat was eventually adopted employed a compromise solution where the precautionary approach and the precautionary principle are provided for in the General Principles and Approaches section, aiming to garner the broadest possible recognition. Moreover, the precautionary approach wording is used in the ABMTs section, and the application of the precautionary approach is reflected in specific provisions on the environmental impact assessment.

Currently, there is relatively limited research on the application of the precautionary approach within theBBNJAgreement. Some scholars have delved into the disagreements surrounding the precautionary approach and the precautionary principle during the negotiation process of theBBNJAgreement.For instance, foreign scholar Tanya Wagenaar, after examining the incorporation of precaution as a general principle within theBBNJAgreement, argued that there is ambiguity between the precautionary principle and the precautionary approach and suggested that adopting the wording “the application of precaution” could potentially mitigate this divergence.10Tanya Wagenaar, A Principled Approach for BBNJ: An Idea Whose Time has Come, Review of European, Comparative and International Environmental Law, Vol. 31:3, p. 399-410(2022).However, using this wording may raise concerns about the clarity of the provision.11Elizabeth Mendenhall, et al., Direction, not Detail: Progress Towards Consensus at the Fourth Intergovernmental Conference on Biodiversity beyond National Jurisdiction, Marine Policy, Vol. 146, p. 1-10 (2022).Some scholars have conducted comprehensive studies on the role of legal principles in theBBNJAgreement,highlighting the significance of the precautionary principle in relation to marine protected areas.12Katherine Houghton, Identifying New Pathways for Ocean Governance: The Role of Legal Principles in Areas beyond National Jurisdiction, Marine Policy, Vol. 49, p. 118-126(2014).Additionally, there are scholars who have underscored the importance of the precautionary approach in conserving marine biodiversity.13Fran Humphries & Harriet Harden-Davies, Practical Policy Solutions for the Final Stage of BBNJ Treaty Negotiations, Marine Policy, Vol. 122, p. 1-7 (2020).Nevertheless, these studies have not specifically examined the applicability of the precautionary approach within the framework of theBBNJAgreement, taking into account the distinctions between the precautionary approach and the precautionary principle.

China stands as a proponent of the application of the precautionary approach in the negotiations on theBBNJAgreement. For example, during the 3rd session of the IGC, China endorsed the use of precautionary approach.14IISD, Summary Report of 19-30 August 2019, 3rd Session of the Intergovernmental Conference (IGC) on the Conservation and Sustainable Use of Marine Biodiversity of Areas Beyond National Jurisdiction, Earth Negotiations Bulletin (2 September 2019),https://enb.iisd.org/events/3rd-session-intergovernmental-conference-igc-conservation-andsustainable-use-marine/summary.Recent years have seen a steady increase in China’s capabilities in marine science and technology,leading to an increase in activities such as maritime transportation, fisheries, and scientific research in ABNJ.15Menon Economics, The Leading Maritime Nations of the World 2018, Menon Economics(5 September 2018), https://www.menon.no/the-leading-maritime-nations-of-the-world-2018/?lang=en.China’s involvement in implementing theBBNJ Agreementholds significant importance. In this context, this paper aims to analyze the application of the precautionary approach in theBBNJAgreementfrom a Chinese perspective. By considering the essence of the precautionary approach and its distinctions from the precautionary principle, this paper will delve into the necessity of applying the precautionary approach within theBBNJAgreementand then provide a detailed analysis of the specific provisions in theBBNJAgreementthat embody the precautionary approach and their practical implementation.

II. The Essence of the Precautionary Approach and the Need for Its Application in the BBNJ Agreement

TheBBNJAgreementis a legally binding international agreement specifically designed to address the conservation and sustainable use of marine biodiversity of ABNJ. Its primary objective is to ensure the immediate and long-term conservation and sustainable use of marine biodiversity in such areas. The international community has limited knowledge about the ecosystems in ABNJ, and the impact of human activities on this environment remains uncertain. In this sense, the precautionary approach embodies the concept of prudently managing environmental harm risks, making it crucial for the potential environmental damage in ABNJ. This section will outline the essence of the precautionary approach, distinguish it from the precautionary principle, and discuss the necessity of applying the precautionary approach within theBBNJAgreement.

A.PrecautionaryApproachandPrecautionaryPrinciple

The precautionary approach, in its capacity as a fundamental principle of international environmental law, can be traced back to the concept of “vorsorgeprinzip” in German environmental law in the 1970s.16Aline L. Jaeckel, The International Seabed Authority and the Precautionary Principle:Balancing Deep Seabed Mineral Mining and Marine Environmental Protection, Brill Nijhoff, 2017, p. 30; David Kriebel, et al., The Precautionary Principle in Environmental Science, Environmental Health Perspectives, Vol. 109:9, p. 871 (2001).Its early core idea was that States should avoid causing harm to the environment through careful planning.17Timothy O’Riordan & Andrew Jordan, The Precautionary Principle in Contemporary Environmental Politics, Environmental Values, Vol. 4:3, p. 193 (1995).The1992RioDeclarationonEnvironmentandDevelopment, commonly known as theRioDeclaration, embraced the precautionary approach. Principle 15 thereof states that, in order to protect the environment, the precautionary approach shall be widely applied by States according to their capabilities. Where there are threats of serious or irreversible damage, lack of full scientific certainty shall not be used as a reason for postponing cost-effective measures to prevent environmental degradation.18UNGA, Rio Declaration on Environment and Development, in Report of the United Nations Conference on Environment and Development, A/CONF.151/26 (Vol. I), 12 August 1992,Principle 15.In view of the above, the precautionary approach can be understood to encompass three fundamental aspects: Firstly, there is a risk of environmental harm and this risk should meet a specific threshold to trigger action; secondly, the presence of scientific uncertainty should not be used as a reason to refrain from taking action to protect the environment; and thirdly, proactive measures should be taken to prevent environmental damage.

In practice, there is an ongoing debate regarding whether the focus should be on the precautionary principle or the precautionary approach. Firstly, the precautionary approach is seen as more adaptable compared to the precautionary principle. In the Southern Bluefin Tuna Cases of the ITLOS, Judge Laing, in his separate opinion, highlighted that the precautionary approach introduced appropriate flexibility.19ITLOS, Southern Bluefin Tuna Cases (New Zealand v. Japan; Australia v. Japan),Provisional Measures, Order of 27 August 1999, Separate Opinion of Judge Laing, para. 19.Secondly, there are doubts within the international community regarding whether the precautionary principle has the status of customary international law. In the Genetically Modified Agricultural Products case of the European Communities, the European Communities deemed the precautionary principle to be customary international law. In contrast, the United States contended that the precautionary principle does not hold the status of customary international law.20WTO, Reports of the Panel on European Communities - Measures Affecting the Approval and Marketing of Biotech Products, WT/DS291/R, WT/DS292/R, WT/DS293/R, 29 September 2006, para. 7.80-7.82.Thirdly, the precautionary approach is considered to align more with the sustainable development concept that involves striking a balance between environmental interests and economic and social interests.In other words, it emphasizes that environmental protection should not come at the expense of economic and social interests. The precautionary principle often involves implementing prohibitive measures, such as a complete ban on large-scale pelagic drift-net fishing to protect fishery resources, which can lead to the cessation of the fishery.21John M. MacDonald, Appreciating the Precautionary Principle as an Ethical Evolution in Ocean Management, Ocean Development and International law, Vol. 26:3, p. 272-274(1995).The precautionary approach, on the other hand, is characterized by its flexible applicability, allowing for a more balanced consideration of both environmental interests and economic and social interests during implementation.As a result, it may be better suited to achieving sustainable development goals.

There is also academic discussion of the distinctions between the precautionary approach and the precautionary principle. Some scholars argue that the disparities between the two are not very clear-cut. In practice, however, global agreements tend to favor the use of the precautionary approach over the precautionary principle.22Patricia Birnie, Alan Boyle & Catherine Redgwell, International Law and the Environment(Third Edition), Oxford University Press, 2009, p. 155-160.For instance, Article 6 of the 1995UNFishStocksAgreementstipulates that States shall apply the precautionary approach widely to conservation, management and exploitation of straddling fish stocks and highly migratory fish stocks in order to protect the living marine resources and preserve the marine environment.23Art. 6 of the Agreement for the Implementation of the Provisions of the United Nations Convention on the Law of the Sea of 10 December 1982 relating to the Conservation and Management of Straddling Fish Stocks and Highly Migratory Fish Stocks.

B.TheNecessityofApplyingthePrecautionaryApproachintheBBNJ Agreement

Precaution is of paramount importance in safeguarding the marine environment and conserving marine biodiversity. This significance, from the outset of negotiations on theBBNJAgreement, has been recognized by all States parties.During the 2006 BBNJAdHocOpen-ended Informal Working Group meeting, it was already acknowledged that human activities such as fishing and dumping pose substantial threats to marine biodiversity of ABNJ. In this regard, the precautionary and ecosystem-based approaches were considered fundamental principles for addressing these threats.24UNGA, Report of the Ad Hoc Open-ended Informal Working Group to study issues relating to the conservation and sustainable use of marine biological diversity beyond areas of national jurisdiction, A/61/65, 20 March 2006, para. 33.

To begin with, there is a threat of harm to marine biodiversity of ABNJ from human activities. Typically, the application of the precautionary approach relies on the threshold where there are threats of serious or irreversible damage. Determining whether a specific activity meets the threshold for applying the precautionary approach should be based on the best available scientific evidence. It is inevitable that human activities such as shipping and fishing will have an impact on marine biodiversity of ABNJ. Beyond that, activities like marine scientific research, deep seabed mining and environmental modification activities have the potential to harm the highly interconnected and sensitive ecosystems in sea areas in ABNJ.25Robin M. Warner, Conserving Marine Biodiversity in Areas beyond National Jurisdiction:Co-Evolution and Interaction with the Law of the Sea, Frontiers in Marine Science, Vol. 1,p. 1 (2014).For instance, fishing methods like bottom trawling can cause severe environmental damage;26PEW, Precautionary Approach Needed for Deep-Sea Mining, PewTrusts (17 June 2016),https://www.pewtrusts.org/en/research-and-analysis/fact-sheets/2016/06/precautionaryapproach-needed-for-deep-sea-mining.the equipment used in deep seabed mining and the sediment plumes generated during mining operations have the potential to harm unique seafloor ecosystems, leading to the destruction of habitats and loss of biodiversity.27C. L. Van Dover, et al., Biodiversity Loss from Deep-Sea Mining, Nature Geoscience, Vol.10, p. 464 (2017).According to the latest assessment by the International Union for Conservation of Nature (IUCN) in 2023, nearly 10% of marine species are at risk of extinction.28IUCN, Human Activity Devastating Marine Species from Mammals to Corals — IUCN Red List, IUCN website (9 December 2022), https://www.iucn.org/press-release/202212/humanactivity-devastating-marine-species-mammals-corals-iucn-red-list.

Furthermore, there exists scientific uncertainty regarding the effects of human activities on marine biodiversity of ABNJ. Despite the advancements in marine science and technology that have improved our understanding of the oceans,marine scientific research (hereinafer “MSR”) is still evolving, and our knowledge of the marine environment and its interactions with human activities remains limited.29Robin Warner, Environmental Assessment in Marine Areas beyond National Jurisdiction:Practice and Prospects, the American Society of International Law, Vol. 111, p. 252 (2017).We lack key information regarding the distribution of marine biodiversity and the vulnerability of these ecosystems to human activities.30Supra note 9，Elizabeth M. De Santo et al.Consequently, the international community faces scientific uncertainty in understanding the precise consequences of human activities on marine ecosystems, the connection between these activities and the resulting damage, and how to effectively mitigate these impacts.

During the negotiations, there was a disagreement among the States parties regarding whether the text of theBBNJAgreementshould define precaution as a “precautionary principle” or a “precautionary approach”. At the 3rd session of the IGC on theBBNJAgreement, some delegates proposed adding the precautionary principle/ approach in the section “General principles and approaches”.31IISD, Daily Report for 28 August 2019, 3rd Session of the Intergovernmental Conference(IGC) on the Conservation and Sustainable Use of Marine Biodiversity of Areas Beyond National Jurisdiction, Earth Negotiations Bulletin (29 August 2019), https://enb.iisd.org/events/3rd-session-intergovernmental-conference-igc-conservation-and-sustainable-usemarine/daily-0.Soon afterwards, in the draft text during the 4th session of the IGC, Subparagraph (e) of Article 5 General Principles and Approaches was formulated as the precautionary approach/principle. However, this specific wording sparked controversy among the States parties, who held differing opinions about whether theBBNJAgreementshould specify the application of the precautionary principle or the precautionary approach. The former was favored by the States represented by the European Union, while the latter was backed by States such as the United States, Japan, and South Korea. In an attempt to avoid further disagreements, the 5th session of the IGC amended the draft text to read the application of precaution. Nevertheless,this compromise, recognized by only a small number of delegates, did not resolve the controversy concerning whether to apply the precautionary principle or the precautionary approach.32IISD, Daily Report for 24 August 2022, 5th Session of the Intergovernmental Conference(IGC) on the BBNJ, Earth Negotiations Bulletin (25 August 2022), https://enb.iisd.org/marine-biodiversity-beyond-national-jurisdiction-bbnj-igc5-daily-report-24aug2022.Eventually, States parties reached a compromise to provide for Article 7 General Principles and Approaches, subparagraph 5 of theBBNJAgreementas “the precautionary principle or precautionary approach,as appropriate”.33Art. 7 of the Agreement under the United Nations Convention on the Law of the Sea on the Conservation and Sustainable Use of Marine Biological Diversity of Areas Beyond National Jurisdiction.Behind such divergence lies the fact that, while both the precautionary approach and the precautionary principle aim to prevent uncertain risks of environmental damage, there are differences in flexibility and other aspects during their implementation. Notwithstanding the States parties’ consent to the compromise approach adopted in theBBNJAgreement, States’ varying understanding of the precautionary principle and the precautionary approach and their distinctive stances contribute to their disagreements remained in the application of the precautionary principle and the precautionary approach in the subsequent implementation of theBBNJAgreement.

TheBBNJAgreementprovides that the precautionary approach should be applied when developing proposals for ABMTs, implementing emergency measures, and adjusting conservation measures. However, the negotiations also saw same disagreements existing among States parties regarding whether to apply the precautionary approach or the precautionary principle to the section concerning ABMTs. Considering the purpose of ABMTs and the distinctions between the precautionary approach and the precautionary principle, the former is more effective in achieving the goals of conserving and sustainably using marine biodiversity. These goals simultaneously encompass two aspects, conservation and sustainable utilization. Indeed, globally, there are various forms of ABMTs,such as marine protected areas, Special Areas and Particularly Sensitive Sea Areas(PSSAs), Regional Environmental Management Plans (hereinafter “REMPs”),Areas of Particular Environmental Interest (hereinafter “APEI”), seasonal or yearround area fisheries closures, and Vulnerable Marine Ecosystems (VMEs).34Elizabeth M. De Santo, Implementation Challenges of Area-based Management Tools(ABMTs) for Biodiversity beyond National Jurisdiction (BBNJ), Marine Policy, Vol.97, p. 39 (2018).These varied forms serve diverse conservation purposes. The precautionary approach has a flexibility that enables it to adapt to the specific characteristics of different forms of ABMTs and the unique ecological environments in need of protection.This allows for the implementation of tailored precaution measures to mitigate environmental harm risks effectively. Additionally, the precautionary approach is capable of balancing both environmental interests and economic and social interests during its implementation, aligning with the goals of conservation and sustainable use of marine biodiversity.

The provisions in theBBNJAgreementrelated to thresholds for EIAs,decision-making, and monitoring of impacts of authorized activities also reflect the precautionary approach.35Kristina M. Gjerde, Glen Wright & Carole Durussel, Strengthening High Seas Governance through Enhanced Environmental Assessment Processes: A Case Study of Mesopelagic Fisheries and Options for A Future BBNJ Treaty, Strong High Seas Project, 2021, https://publications.iass-potsdam.de/rest/items/item_6000701_3/component/file_6000702/content,p. 18.The EIA process can reveal the range of potential effects of an activity on multiple components of an ecosystem and possible ways to mitigate predicted impacts. The assessment, which assesses the risk of environmental harm of proposed activities, aligns with the concept of prudent risk management and helps manage the risk of environmental harm. The precautionary approach is adaptable and can differentiate between the levels of harm caused by different activities during the environmental impact assessment process. For instance, MSR can cause damage to the marine environment, as the activity will introduce sound to the marine environment at times that negatively affects marine life.36Harm M. Dotinga & Alex G. Oude Elferink, Acoustic Pollution in the Oceans: The Search for Legal Standards, Ocean Development and International Law, Vol. 31:1-2, p. 151-182(2000).However, not all sounds have detrimental effects on marine life, and the intensity of the same sound also has varying degrees of impact. The precautionary approach allows for the formulation of different precaution measures based on the degree of harm. On the other hand, applying the precautionary principle might result in an outright prohibition of such scientific research practices. MSR plays a crucial role in providing information and data needed for the conservation of marine biodiversity. When conducting EIAs, it is important to differentiate the level of harm and tailor preventive measures accordingly, rather than imposing a blanket ban.

Therefore, even though Article 7 of theBBNJAgreementhas sought to address the divergence between the “precautionary approach” and the “precautionary principle”, practical implementation still faces debates over which one to apply.There is a necessity for the application of the precautionary approach within theBBNJAgreement. It helps prevent serious or irreversible harm to the environment resulting from risks of environmental damage, thus playing a crucial role in safeguarding the marine environment and conserving marine biodiversity.Given the approach’s flexibility and ability to balance environmental and socioeconomic interests, its application to ABMTs contributes to the goal of conserving and utilizing biodiversity. EIAs can be viewed as a means of risk prevention,embodying the concept of prudent risk management.

III. The Precautionary Approach in General Principles and Approaches and China’s Engagement

During the first session of conference on BBNJ, the international community had recognized that various principles could provide a foundation for global consensus on conserving and sustainably utilizing marine biodiversity.37Supra note 24, UNGA, para. 23, 33.It is regulated in Article 7 ofBBNJAgreementthat parties shall follow the precautionary approach or precautionary approach, as appropriate.38Art. 7 of the Agreement under the United Nations Convention on the Law of the Sea on the Conservation and Sustainable Use of Marine Biological Diversity of Areas Beyond National JurisdictionThis provision adopts a selective approach, which is actually a compromise solution that does not fundamentally resolve the differences between the “precautionary approach” and the “precautionary principle”.

In the negotiations, China favored the application of the “precautionary approach” within theBBNJAgreement. This preference is also reflected in China’s practice in the ISA. The three exploration regulations that ISA has developed successively all highlight the precautionary approach.39Art. 2(2) of Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area; Art. 2 (2) of Regulations on prospecting and exploration for polymetallic sulphides in the Area; Art. 2(2) of Regulations on Prospecting and Exploration for Cobalt-rich Ferromanganese Crusts in the Area.One specific regulation,Draft regulations on exploitation of mineral resources in the Area, specifies in its Regulation 44 that ISA, sponsoring States and Contractors shall apply the precautionary approach to the assessment and management of risk of harm to the marine environment from exploitation in the Area.40Art. 44 of Draft regulations on exploitation of mineral resources in the Area.Considering the differences between the precautionary principle and the precautionary approach, China’s support for the application of the precautionary approach primarily stems from the following reasons:

Firstly, the precautionary approach is flexible in that it tends to be implemented as a “soft” approach,41Supra note 21, John M. MacDonald.allowing for adaptable responses to the risk of environmental harm arising from human activities. It is important to note that MSR also entails environmental harm risks. Some MSR activities necessitate the use of research equipment or the construction of scientific research platforms in the oceans, and some involve drilling techniques for sampling, all of which can potentially impact marine species or habitats and disrupt the structure of marine ecosystems.42Anna-Maria Hubert, The New Paradox in Marine Scientific Research: Regulating the Potential Environmental Impacts of Conducting Ocean Science, Ocean Development and International Law, Vol. 42:4, p. 331 (2011).The precautionary approach allows for flexibility in implementing precaution measures depending on the extent of harm that MSR activities may pose to the marine environment. In contrast, the precautionary principle often takes the form of “hard” prohibitive conservation rules.43Supra note 21, John M. MacDonald.This means that some MSR activities, which may cause harm to the marine environment below the threshold of “threats of serious or irreversible damage”, may be prohibited. This will impact the international community’s freedom to conduct MSR in ABNJ.

Secondly, the legal status of the precautionary approach is well-defined and can better fulfill its role in preventing the risk of environmental harm. In practice,there have been doubts within the international community regarding whether the precautionary principle is considered customary international law. While the European Union consistently argues that the precautionary approach falls within the realm of customary international law, the United States, on the contrary, does not view the precautionary principle as customary international law.44Supra note 20.Customary international law entails two essential components: General practice andopinio juris. In practice, there is no consistent application of either the precautionary approach or the precautionary principle in existing international instruments. For example, theRioDeclarationemploys the precautionary approach, while Article 2 of theConventionfortheProtectionoftheMarineEnvironmentoftheNorth-East Atlanticspecifies that Contracting Parties shall apply the precautionary principle.45Art. 2 of the Convention for the Protection of the Marine Environment of the North-East Atlantic.Due to this lack of uniformity in practice, the precautionary principle does not constitute a general practice. Furthermore, given the ongoing dispute surrounding the legal status of the precautionary principle in the international community, it is apparent that it is evident that it has not formedopiniojuris. Consequently,the precautionary principle does not constitute customary international law. In contrast, the legal nature of the precautionary approach is unambiguous, and its implementation as a specific protective measure offers a more effective response to uncertain environmental harm risks.

Thirdly, the precautionary approach effectively balances both environmental and socio-economic interests, making it beneficial for achieving the goals of theBBNJAgreement. The primary objective of theBBNJAgreementis to ensure the conservation and sustainable use of marine biodiversity of ABNJ, both for the present and in the long term.46Art. 2 of the Agreement under the United Nations Convention on the Law of the Sea on the Conservation and Sustainable Use of Marine Biological Diversity of Areas Beyond National Jurisdiction.This objective encompasses two aspects concerning marine biodiversity, i.e., the conservation and the sustainable use. The precautionary approach, being a “soft” approach, is flexible in its application and can balance environmental and socio-economic interests. Therefore, by allowing for the prevention of environmental harm without completely prohibiting oceanic activities, this approach can effectively fulfill both aspects of theBBNJAgreement’s objective. The precautionary principle, on the other hand, is usually manifested in the form of prohibitive regulations, which can prevent environmental harm but may also hinder the use of the sea, ultimately not being conducive to the achievement of the objective of theBBNJAgreement.

In conclusion, theBBNJAgreementattempts to resolve the disagreement over whether to adopt the “precautionary principle” or the “precautionary approach” by allowing States to choose which one to apply. However, the contradiction over which to apply has not been substantively resolved due to differences in each State’s positions and understanding of the text. The precautionary approach is characterized by flexibility, legal clarity, and the ability to balance environmental and socio-economic interests, making it advantageous for achieving the objective of theBBNJAgreement. Therefore, in practice, it is preferable to apply the “precautionary approach” rather than the “precautionary principle”. The general principles and approaches section in theBBNJAgreementhas broad guiding significance for the interpretation and application of other provisions thereof. The choice between the “precautionary principle” and the “precautionary approach” can indeed impact the application of provisions within theBBNJAgreementon ABMTs and EIAs.

IV. The Precautionary Approach in Area-based Management Tools and China’s Engagement

ABMTs, such as marine protected areas, were one of the four significant focuses during the negotiations of theBBNJAgreementin 2011. These tools play a crucial role in conserving marine biodiversity by implementing various conservation measures in specific areas to protect and restore biodiversity and ecosystems. TheBBNJAgreement’s section on ABMTs that involves the precautionary approach includes Article 19, paragraph 3, Article 24, and Article 26.

A.ProposalforArea-basedManagementTools

According to Article 19, paragraph 3, of theBBNJAgreement, proposals shall be formulated on the basis of the best available science and scientific information and, where available, relevant traditional knowledge of Indigenous Peoples and local communities, taking into account the precautionary approach and an ecosystem approach.47Art. 19 of the Agreement under the United Nations Convention on the Law of the Sea on the Conservation and Sustainable Use of Marine Biological Diversity of Areas Beyond National Jurisdiction.However, during the negotiations, there is a disagreement among the States parties regarding whether the precautionary approach or the precautionary principle should be applied in proposals.48Supra note 14, IISD.China is in favor of the application of the precautionary approach in the provisions related to ABMTs.49IISD, Summary Report of 25 March — 5 April 2019, 2nd Session of the Intergovernmental Conference on an International Legally Binding Instrument under the UN Convention on the Law of the Sea on the Conservation and Sustainable Use of Marine Biodiversity of Areas Beyond National Jurisdiction, Earth Negotiations Bulletin (8 April 2019), https://enb.iisd.org/events/2nd-session-intergovernmental-conference-igc-conservation-andsustainable-use-marine/summary.

Applying the precautionary approach when formulating proposals contributes to achieving the objectives of ABMTs, which are to conserve and sustainably use areas requiring protection, including through the establishment of a comprehensive system of ABMTs, with ecologically representative and well-connected networks of marine protected areas.50Art. 17 of the Agreement under the United Nations Convention on the Law of the Sea on the Conservation and Sustainable Use of Marine Biological Diversity of Areas Beyond National Jurisdiction.According to theBBNJAgreement, a draft management plan for area-based management tool should be developed during the proposal formulation. Such a draft should include the proposed measures and an overview of the monitoring, research, and review activities necessary to achieve specific objectives. The development of these management plans should take into account factors such as the biodiversity status of the areas to be protected, the marine environment, and conservation objectives. Take marine protected areas in ABNJ as an example. These areas are established to impose specific restrictions on certain human activities in particular sea areas in the high seas and international seabed area, with an aim to achieve long-term protection of the marine ecosystem and conservation of biological resources.51WANG Jinpeng, International Cooperation and Coordination in Governance of Marine Protected Areas Beyond National Jurisdiction, Wuhan University International Law Review. Vol. 10:6, p. 66 (2022). (in Chinese)In this case, if the precautionary principle is applied in proposals for the establishment of marine protected areas, its capacity as a prohibitive regulation could lead to a complete closure of the area, potentially restricting or even prohibiting certain human activities. This conflicts with the principle of freedom of the high seas as outlined in theUnitedNationsConvention ontheLawoftheSea(UNCLOS). On the other hand, the flexible nature of the precautionary approach allows for tailored restrictions on specific human activities based on the extent of harm they may cause to the marine environment.This approach strikes a balance between protecting specific areas and allowing for sustainable use. Therefore, applying the precautionary approach to proposals for ABMTs can effectively balance the conservation of marine biodiversity with sustainable use.

China’s practices within the ISA demonstrate its support for the application of the precautionary approach to manage and prevent harm to the marine environment in international seabed governance. In 2011, in an effort to safeguard the biodiversity structure and ecological functions of the Clarion-Clipperton Zone (hereinafter “CCZ”) from potential impacts of human activities,the Legal and Technical Commission (LTC) of the ISA proposed a Regional Environmental Management Plan. This plan included a network comprising nine Areas of Particular Environment Interest (hereinafter “APEI”) and called for the implementation of the precautionary approach. China expressed its support for this plan, recognizing the critical role of regional environmental management plans in environmental stewardship, and also endorsed the development of guidelines for such plans’ implementation. Furthermore, in our practices within the Antarctic marine protected areas, China emphasized the need for applying the precautionary approach based on scientific evidence. During negotiations for the Ross Sea marine protected area in Antarctic in 2014, China proposed a prerequisite for the application of the precautionary approach in establishing marine protected areas,stating that its application must be based on scientific evidence.52CCAMLR, Report of the Thirty-Third Meeting of the Commission, CCAMLR website(November 2014), https://www.ccamlr.org/en/system/files/e-cc-xxxiii.pdf, para. 7, 69.

In summary, the precautionary approach features the flexibility in applying the precaution measures in accordance with specific types of ABMTs. This approach considers the socio-economic benefits while minimizing damage to marine ecosystems caused by conservation measures, and it aligns with the concept of sustainable development. The precautionary principle, as a “hard” rule, may result in closing off specific areas and impacting States’ utilization of the oceans. In practice, China supports applying the precautionary approach based on scientific evidence.

B.Area-basedManagementToolsasEmergencyMeasures

According to Article 24, paragraph 3, of theBBNJAgreement, measures adopted on an emergency basis shall be based on the best available science and scientific information and, where available, relevant traditional knowledge of Indigenous Peoples and local communities and shall take into account the precautionary approach. Such measures may be proposed by Parties or recommended by the Scientific and Technical Body and may be adopted intersessionally. The measures shall be temporary and must be reconsidered for decision at the next meeting of the Conference of the Parties following their adoption.53Art. 24 of the Agreement under the United Nations Convention on the Law of the Sea on the Conservation and Sustainable Use of Marine Biological Diversity of Areas Beyond National Jurisdiction.Emergency measures refer to temporary actions taken in response to unexpected events, and they are used to address urgent situations, such as underwater volcanic eruptions and submarine landslides.54IISD, Daily Report for 19 August 2022, Earth Negotiations Bulletin (22 August 2022),https://enb.iisd.org/sites/default/files/2022-08/enb25235e.pdf.

The applicability of emergency measures within theBBNJAgreementbegan to receive focused discussion during the 5th session of the IGC.55Supra note 32, IISD.Throughout the resumed 5th session of the IGC,56IISD, Daily Report for 28 February 2023, Resumed 5th Session of the Intergovernmental Conference (IGC) on BBNJ, Earth Negotiations Bulletin (1 March 2023), https://enb.iisd.org/marine-biodiversity-beyond-national-jurisdiction-bbnj-igc5-resumed-daily-report-28feb2023.there was a general consensus among the States parties to incorporate provisions regarding emergency measures into the section on ABMTs.57Supra note 32, IISD.Significant discussions revolved around the application of the precautionary approach within emergency measures and the thresholds for invoking such measures. The threshold for the application of emergency measures is defined as causing “serious or irreversible harm”, indicating that a natural phenomenon or human-made disaster has caused or has the potential to cause severe or irreversible harm to marine biodiversity in ABNJ. Applying emergency measures should be based on the best available science and scientific information. The best available scientific evidence can provide valuable information and data for the formulation of emergency measures to prevent and mitigate damage effectively.

The precautionary approach can help prevent serious or irreversible harm to the marine environment arising from temporary emergency measures. Emergency measures are often put in place to address urgent situations and to prevent or mitigate the sudden impacts on the marine environment resulting from natural events or man-made disasters. As a result, implementing emergency measures may carry environmental harm risks with uncertainties. The precautionary approach allows for careful management of these risks and provides flexibility in responding to any environmental damage that may arise from emergency measures. In practice,there are indeed situations where emergency measures are applied. For instance,Regulation 28 of theDraftRegulationsonExploitationofMineralResourcesinthe Area, developed by the ISA, outlines the emergency measures to be implemented during commercial mining. It states that in cases where the marine environment may be subject to harm or a threat of serious harm during deep-sea seabed commercial mining operations, the Contractor shall temporarily reduce or suspend production whenever such reduction or suspension is required.58Art. 28(3) of Draft Regulations on Exploitation of Mineral Resources in the Area.This demonstrates that in commercial mining processes, if the marine environment is at risk of harm or a threat of serious harm, timely reduction or suspension of activities is required to protect the marine environment.

C.AdjustmentofConservationMeasuresforArea-basedManagement Tools

Article 26, paragraph 5 of theBBNJAgreementstates that the precautionary approach should be applied when adjusting conservation measures for ABMTs.Specifically, when revising, extending, or withdrawing conservation measures,it is crucial to consider both the precautionary approach and the ecosystem approach. Conservation measures are adjusted when the existing ones are no longer suitable for the area that needs protection. To ensure the goals of conservation and sustainable use are met, adjustments must be made in a timely manner, taking into account the restoration status of the specific area and changes in natural conditions like climate change and ocean acidification. In order to achieve the conservation objectives of ABMTs, it is important to make timely adjustments to conservation measures based on the results of monitoring and periodic reviews. In essence,adjusting conservation measures is about maintaining their effectiveness in a given area, which requires adapting to the marine ecological characteristics of different regions.

The precautionary approach features the flexibility that allows for timely adjustment of precaution measures based on the specific program for adjusting conservation measures. Moreover, the precautionary approach considers both environmental and socio-economic interests and aligns more with the concept of sustainable development. Applying the precautionary approach to adjusting conservation measures can be cost-effective and avoid increased costs, as it takes into account the scientific and technological capabilities, economic conditions,and social circumstances of individual States. Since species distribution varies with annual cycles, annual and permanent closures typically target average conditions, while seasonal closures focus on specific time periods that are of the greatest concern.59Guillermo Ortuno Crespo, et al., Beyond Static Spatial Management: Scientific and Legal Considerations for Dynamic Management in the High Seas, Marine Policy, Vol. 122, p. 5(2020).The precautionary approach can be combined with the periodic variations in the protected area to adjust precaution measures, thus preventing excessive closures in the area.

China’s practices within the ISA demonstrate its support for the application of the precautionary approach. ISA has developed a REMP for the CCZ, aimed at protecting the biodiversity and ecosystem structure and functions of the entire area.60ISA, Environmental management plan for the Clarion-Clipperton Zone, ISA website (15 March 2023), https://www.isa.org.jm/protection-of-the-marine-environment/regionalenvironmental-management-plans/ccz/.Deep seabed mining often takes place in areas where ecology and sensitivity are unknown, leading to significant uncertainty in estimating impacts and establishing management activities.61Daniel O. B. Jones, et al., Existing Environmental Management Approaches Relevant to Deep-Sea Mining, Marine Policy, Vol. 103, p. 172-181 (2019).The precautionary approach is a crucial tool for addressing such uncertainty. The REMP for the CCZ initially involved a network of nine APEIs. In 2021, ISA planned to expand this network by adding four additional APEIs. China supported the addition and favored the application of the precautionary approach. This embodies China’s endorsement of the precautionary approach when adjusting conservation measures. Furthermore,China’s practices in Antarctic marine protected areas also demonstrate its emphasis on the precautionary approach. 2018 saw China’s proposal of improvements to the draft research and monitoring plan for the Ross Sea region Marine Protected Area, in which China recognized the vital role of the research and monitoring plan in the exploitation and development of marine protected areas, emphasizing the need to adjust monitoring programs within these areas.62Delegation of the People’s Republic of China, Proposal to improve the Draft Research and Monitoring Plan for the Ross Sea region Marine Protected Area, CCAMLR (October 2019), https://meetings.ccamlr.org/en/sc-camlr-38/21.Monitoring can provide scientific evidence for applying the precautionary approach or conducting EIAs for activities planned in Antarctica. This proposal regarding the adjustment of conservation measures highlights China’s cautious approach to managing environmental harm risks in practice and underscores its commitment to applying the precautionary approach when adjusting conservation measures.

D.Summary

The application of the precautionary approach in the section on ABMTs holds significant importance. These tools encompass various forms of management,and establishing them in practice requires a foundation in the best available science. This involves assessing potential risks and threats to ecosystems,habitats, and populations in areas that need protection. Additionally, factors such as the uniqueness, sensitivity, and vulnerability of different marine ecosystems must be weighed to determine the optimal approach to protect and restore the ecological conditions of these areas. When formulating proposals and developing or adjusting conservation measures, applying the precautionary approach allows for a comprehensive consideration of various factors, including the current level of marine science and technology and socio-economic conditions, to address the uncertainty in potential harm risks caused by ocean acidification, climate change, research, and resource exploration and exploitation activities on marine environments and biological populations. In the implementation of theBBNJ Agreement, the flexible nature of the precautionary approach enables a timely response to uncertainties that may arise when adjusting conservation measures depending on the ecological characteristics and recovery status of the area that needs protection. Due to the dynamic nature of the marine environment, living resources are not evenly distributed in a particular area. Instead, they move throughout the oceans in response to seasonal changes, currents, food availability,and other factors, or may migrate to higher latitudes due to climate change.63Supra note 59, Guillermo Ortuno Crespo, et al., p. 1-10。The precautionary approach takes into account specific monitoring data and adjusts closures or openings in specific areas accordingly, rather than rigidly enforcing complete closures. This approach aims to strike a balance between the conservation and sustainable use of marine biodiversity.

V. The Precautionary Approach in Environmental Impact Assessments and China’s Engagement

Environmental impact assessment is a widely accepted fundamental obligation within the international community.64Alex G. Oude Elferink, Environmental Impact Assessment in Areas beyond National Jurisdiction, The International Journal of Marine and Coastal Law, Vol. 27:2, p. 449 (2012).Articles 204, 205, and 206 of UNCLOS provide for “monitoring of the risks or effects of pollution”, “publication of reports”, and “assessment of potential effects of activities”, respectively. The International Court of Jurisdiction (ICJ), in the Case concerning Pulp Mills on the River Uruguay (Argentina v. Uruguay), recognized environmental impact assessment as a general obligation under customary international law.65ICJ, Case concerning Pulp Mills on the River Uruguay (Argentina v. Uruguay), Judgement of 2010, para. 204.TheConventiononBiodiversityDiversity(CBD) links environmental impact assessment with the prevention or reduction of environmental harm in its Article 14.66Art. 14 of the Convention on Biodiversity Diversity.In pursuit of its goals for conservation and sustainable use of marine biodiversity, theBBNJAgreementincludes environmental impact assessment as a core component.TheBBNJAgreement’s section on EIAs provides for the precautionary approach in various articles, including Article 30 (Thresholds and factors), Article 34 (Decisionmaking), Article 35 (Monitoring of impacts of authorized activities), and Article 38(Standards and/or guidelines to be developed by the Scientific and Technical Body related to EIAs). In the following discussion, this paper will shed light on three specific articles that embody the precautionary approach: Thresholds for EIAs,decision-making, and Monitoring of impacts of authorized activities.

A.ThresholdsforEnvironmentalImpactAssessments

Article 30 of theBBNJAgreementestablishes the thresholds and factors for conducting EIAs. According to this article, when a planned activity may have more than a minor or transitory effect on the marine environment, or the effects of the activity are unknown or poorly understood, the Party with jurisdiction or control of the activity shall conduct a screening of the activity. TheBBNJAgreementemploys a tiered approach to establish the thresholds for conducting an EIA.67IISD, Daily Report for 2 March 2023, Resumed 5th Session of the Intergovernmental Conference (IGC) on BBNJ, Earth Negotiations Bulletin (3 March 2023), https://enb.iisd.org/marine-biodiversity-beyond-national-jurisdiction-bbnj-igc5-resumed-daily-report-2mar2023.Activities that are considered to have “more than a minor or transitory effect” are subject to screening, which is the initial step in the EIA process. The primary purpose of screening is to determine whether the planned activity necessitates an EIA. The screening process should be based on the best available science and scientific information, while taking into account all relevant factors to assess whether the planned activity may potentially result in substantial pollution or significant and harmful changes to the marine environment. Activities that have the potential to cause such substantial pollution or significant and harmful changes should undergo an EIA.

This provision demonstrates the prudent management of the risks of environmental harm, so as to prevent planned activities from causing serious or irreversible harm to the marine environment. Article 30’s requirement to screen activities with “unknown or poorly understood” effects showcases the cautious management of activities with uncertainty in their impacts, aligning with the three fundamental aspects encompassed by the precaution concept: Scientific uncertainty, risk of environmental harm, and actions to be taken. Additionally,theBBNJAgreementestablishes a tiered structure for setting the thresholds for conducting EIAs, which to some extent reflects the concepts of flexibility and costeffectiveness. TheBBNJAgreement, in its General Principles and Approaches section, allows for the choice to apply the precautionary approach or the precautionary principle, and the application of the precautionary approach holds practical significance in the EIA process based on the set thresholds.

In practice, the first and foremost thing for conducting an EIA for a planned activity is to determine whether the activity meets the threshold for conducting such an EIA. Where the planned activity has the potential to cause “more than a minor or transitory effect” on the marine environment, it shall be subject to a screening process as per the criteria specified in theBBNJAgreement. For instance,the screening process considers factors such as the type of planned activity, the technologies to be employed, the method of execution, the duration of the activity,the location, and the potential impacts of the activity. The results of the screening are then used to assess whether the activity may potentially lead to substantial pollution or significant and harmful changes to the marine environment. In the case of planned carbon capture and storage (CCS) activities, an EIA is required under theBBNJAgreement. The CCS technology is crucial for addressing global warming by removing carbon dioxide from the atmosphere.68Douglas P. Connelly, et al., Assuring the Integrity of Offshore Carbon Dioxide Storage,Renewable and Sustainable Energy Reviews, Vol. 166, p. 1-9 (2022).However, the release of carbon dioxide may affect the location of the release and the nearby benthic biota and marine ecosystems, paticularly the benthic sediments, which are more susceptible to impact.69Anita Flohr, et al., Towards Improved Monitoring of Offshore Carbon Storage: A Realworld Field Experiment Detecting a Controlled Sub-seafloor CO2 Release, International Journal of Greenhouse Gas Control, Vol. 106, p. 1-20 (2021).To conduct an environmental assessment for CCS activities,a comprehensive consideration of factors is necessary, including the location for establishing offshore platform facilities, the nature of seafloor sediments, and the potential impacts of carbon dioxide release on the marine environment. In this case,the flexible nature of the precautionary approach allows for a balanced assessment of the environmental harm risks associated with CCS activities against the societal benefits they offer.

The EIA thresholds established in theBBNJTreatyare similar to those found in theProtocolonEnvironmentalProtectiontotheAntarcticTreaty(hereinafter “MadridProtocol”). TheMadridProtocoladopts a tiered approach to EIA and outlines specific assessment procedures in its Annex I. In the first stage, known as the primary assessment (PA) stage, if it is determined that the planned activity has less than a minor or transitory effect, the activity may proceed, and a primary assessment is conducted at the national level.70Tanya O’Neill, Protection of Antarctic Soil Environments: A Review of the Current Issues and Future Challenges for the Environmental Protocol, Environmental Science and Policy,Vol. 76, p. 156 (2017).In the second stage, the initial environment evaluation (IEE) is required when it is determined that an activity may result in minor or transitory effects. In the third stage, the comprehensive environmental evaluation (CEE) becomes necessary if the IEE indicates that the effects may be minor or transitory, or if it is otherwise determined that such effects are expected.71Arts. 2, 3 of Annex I of the Protocol on Environmental Protection to the Antarctic Treaty.Since 2008, China has conducted several EIAs in Antarctica, with most being initial environment evaluations and only a few comprehensive environmental evaluations. The decision to conduct comprehensive environmental evaluations is primarily driven by the establishment of research stations or the operation of new facilities. China’s activities in Antarctica,including the establishment of Kunlun Station in 2008 and the operation of new facilities in 2013,72Secretariat of the Antarctic Treaty, Final Comprehensive Environmental Evaluation of Proposed Construction and Operation of the new Chinese Dome A Station, ATS (24 March 2023), https://www.ats.aq/devAS/EP/EIAItemDetail/1221.have been subject to the comprehensive environmental evaluations and are in compliance with relevant international treaties.73Secretariat of the Antarctic Treaty, Proposed Construction and Operation of a New Chinese Research Station, Victoria Land, Antarctica. Draft Comprehensive Environmental Evaluation, ATS (24 March 2023), https://www.ats.aq/devAS/EP/EIAItemDetail/156.China has fulfilled its obligations regarding EIA, demonstrating its prudent management of the environmental harm risks associated with planned activities.

B.Decision-making

Article 34 of theBBNJAgreementstates that when determining whether the planned activity may proceed under this Part, full account shall be taken of an environmental impact assessment conducted in accordance with this Part. A decision to authorize the planned activity under the jurisdiction or control of a Party shall only be made when, taking into account mitigation or management measures, the Party has determined that it has made all reasonable efforts to ensure that the activity can be conducted in a manner consistent with the prevention of significant adverse impacts on the marine environment.74Art. 34 of the Agreement under the United Nations Convention on the Law of the Sea on the Conservation and Sustainable Use of Marine Biological Diversity of Areas Beyond National Jurisdiction.During the negotiations on BBNJ, the States parties had a disagreement about who should be in charge of the environmental impact assessment.75IISD, Daily Report for 21 February 2023, Resumed 5th Session of the Intergovernmental Conference (IGC) on BBNJ, Earth Negotiations Bulletin (22 February 2023), https://enb.iisd.org/marine-biodiversity-beyond-national-jurisdiction-bbnj-igc5-resumed-daily-report-21feb2022.In this regard, theBBNJAgreementsets out criteria for decision-making led by States.

The decision-making process involves determining who should be responsible for implementing the precautionary approach. According to this provision, States shall carry out planned activities based on the results of EIAs in order to avoid significant negative impacts on the marine environment. This reflects the prudent management of environmental harm risks by taking precautionary measures to prevent serious or irreversible harm to the marine environment arising from planned activities, aligning with the precaution concept. The General Principles and Approaches section of theBBNJAgreementprovides guidance for implementing the other parts of the Agreement. TheBBNJAgreementallows for the choice to apply the precautionary approach or the precautionary principle. The decisionmaking process lead by States implies that the choice between applying the precautionary principle or the precautionary approach will influence the decisions approach EIAs.

Chinese domestic laws related to EIAs reflect the precautionary approach.TheLawofthePeople’sRepublicofChinaonEnvironmentalImpactAssessment(hereinafter “the Environmental Impact Assessment Law”), enacted in 2002,mandates EIAs for planning and construction projects to prevent adverse environmental impacts following project implementation.76Arts. 7, 16 of the Law of the People’s Republic of China on Environmental Impact Assessment.This demonstrates China’s emphasis on managing the risk of environmental harm through EIAs. For instance, prior to approving the location of nuclear facilities, an environmental impact assessment report must be prepared. Similarly, operators of nuclear facilities must prepare an environmental impact assessment report when applying for a license for construction and operation of such facilities. Additionally, theAdministrative RegulationonthePreventionandTreatmentofthePollutionandDamagetothe MarineEnvironmentbyMarineEngineeringestablishes an environmental impact assessment system for marine engineering projects. Article 8 thereof specifies that the environmental impact assessment of marine engineering projects should focus on a comprehensive analysis, prediction, and assessment of the project’s impacts on the marine environment and marine resources. It also requires the proposal of ecological protection measures to prevent, control, or mitigate any such impacts.77Art. 8 of Administrative Regulation on the Prevention and Treatment of the Pollution and Damage to the Marine Environment by Marine Engineering.The purpose of conducting EIAs for marine engineering projects is to prevent,control, and mitigate environmental harm caused by the project, aligning with the three fundamental elements of the precautionary approach. Based on this, Chinese domestic law has established a comprehensive environmental impact assessment system to effectively manage the risk of environmental harm by conducting EIAs for planned activities. This showcases China’s prudent management of environmental harm risk and embodies the essence of the precautionary approach.

C.MonitoringofImpactsofAuthorizedActivities

According to Article 35 (Monitoring of impacts of authorized activities)of theBBNJAgreement, Parties shall, by using the best available science and scientific information and, where available, the relevant traditional knowledge of Indigenous Peoples and local communities, keep under surveillance the impacts of any activities in areas beyond national jurisdiction that they permit or in which they engage in order to determine whether these activities are likely to pollute or have adverse impacts on the marine environment. It can be seen that Article 35 primarily focuses on using the best available science and scientific information to conduct ongoing monitoring of the impacts of authorized activities and assess whether activities conducted in ABNJ will pollute the marine environment or have adverse effects on it. Ongoing monitoring is a mandatory requirement under theBBNJAgreementfor its contracting parties to prevent environmental harm. It is a risk management approach, constituting a part of the precautionary measures. Monitoring allows for the acquisition of scientific information and data,thereby providing a scientific foundation for conducting EIAs and facilitating the implementation of precaution based on scientific evidence.

It is evident from the text that the monitoring is directed at the impacts of any activity carried out by a State Party in ABNJ, which also entails the consideration of relevant effects, such as economic, social, cultural, and human health effects.78Art. 35 of the Agreement under the United Nations Convention on the Law of the Sea on the Conservation and Sustainable Use of Marine Biological Diversity of Areas Beyond National Jurisdiction.In the case of deep seabed mining, for example, ongoing monitoring encompasses not only the monitoring of the impact of deep seabed mining based on agreed-upon biological indicators but also the assessment of related effects such as economic and social consequences arising therefrom. Currently, our understanding of the structure and functioning of deep-sea ecosystems and the extent to which mining affects them is limited.79Jennifer T. Le, Lisa A. Levin & Richard T. Carson, Incorporating Ecosystem Services into Environmental Management of Deep-seabed Mining, Deep Sea Research Part II: Topical Studies in Oceanography, Vol. 137, p. 486-503 (2017).Potential impacts of deep seabed mining include the dispersion of sediment plumes, changes in water quality, and alterations in the chemical and physical properties of the seafloor. In this regard, the precautionary approach offers a flexible response to the environmental harm risks associated with uncertainties resulting from our limited knowledge of the deep sea.80Jayden Hyman, Rodney A Stewart & Oz Sahin, Adaptive Management of Deep-seabed Mining Projects: A Systems Approach, Integrated Environmental Assessment and Management, Vol. 18:3, p. 674-681 (2022).Moreover,since the precautionary approach takes into account both environmental and socioeconomic interests, it allows for the consideration of economic and social impacts related to deep seabed mining during the process of ongoing monitoring.

China’s attitude to monitoring is evident in its practices in the Antarctic marine protected areas and its domestic legal framework. Research and Monitoring Plans (RMPs) play a crucial role in the development and implementation of marine protected areas. In 2018, China submitted a proposal for improving the draft research and monitoring plan for the Ross Sea Marine Protected Area,highlighting its dedication to conducting thorough research and monitoring in the Ross Sea region.81Supra note 62.China also incorporates monitoring into its domestic laws to safeguard the environment. TheEnvironmentalImpactAssessmentLaw, theLawofthePeople’sRepublicofChinaontheExplorationandDevelopment ofResourcesinDeepSeabedAreas(hereinafter “theDeepSeaLaw”), and theMarineEnvironmentalProtectionLawall reflect the application of monitoring.Specifically, theEnvironmentalImpactAssessmentLawspecifies the contents of environmental impact assessment reports for construction projects, requiring the inclusion of recommendations for environmental monitoring.82Art. 17 of Law of the People’s Republic of China on Evaluation of Environment Effects.TheDeep SeaLawmandates contractors to periodically report to the competent maritime authorities on their environmental monitoring efforts.83Art. 13 of the Law of the People’s Republic of China on the Exploration and Development of Resources in Deep Seabed Areas.Similarly, theMarine EnvironmentalProtectionLawmandates the national marine administrative authority, in collaboration with relevant departments, to establish a national network for monitoring and surveillance of the marine environment and regularly assess its quality.84Art. 14 of Marine Environmental Protection Law of the People’s Republic of ChinaThese practices demonstrate China’s proactive use of monitoring to prevent and manage environmental harm risks.

D.Summary

The precautionary approach holds greater practical significance for EIAs.Compared to the precautionary principle, the precautionary approach offers more flexibility in conducting EIAs for planned activities, allowing for a balance between environmental and socio-economic interests, which aligns with the principles of sustainable development. Regarding the threshold for conducting an environmental impact assessment, a flexible tiered approach has been established, which is more in line with the characteristics of the precautionary approach. Regarding the decision-making, the decision-making process for EIAs will be influenced by the choice of the State to apply the precautionary approach or the precautionary principle. Regarding the monitoring of impacts of authorized activities, the precautionary approach is better equipped to consider social, cultural, economic,and other impacts.

In practice, EIAs play a crucial role in safeguarding the marine environment against harm. To effectively protect the marine environment, especially in the context of deep seabed mineral exploration activities, the ISA has adopted the proactive approach. ISA has developed specific guidelines for conducting EIAs for prospecting activities in the Area, known as theRecommendationsfortheGuidance ofContractorsfortheAssessmentofthePossibleEnvironmentalImpactsArising fromExplorationforMarineMineralsintheArea. In this guidance, activities conducted during the exploration phase are categorized into two groups: Those that do not require EIAs and those that do. The first group includes activities in which, based on available information, it is generally accepted that the technologies currently used for exploration will not cause significant harm to the marine environment. Examples of such activities are sampling of seawater, organisms,sediments, and rocks for environmental baseline studies. The second group comprises activities that may pose a serious threat to the marine environment, such as test-mining and drilling activities using on-board drilling rigs.85ISA, Recommendations for the Guidance of Contractors for the Assessment of the Possible Environmental Impacts Arising from Exploration for Marine Minerals in the Area,ISBA/25/LTC/6/Rev.1, 1 March 2013, para. 32-33.Conducting EIAs for activities that have the potential to cause significant environmental damage during exploration reflects both a prudent approach to risk management and consideration for cost-effectiveness. It takes into account socio-economic factors and aligns with economic benefits while also adhering to the principles of sustainable development.

China favors the application of EIAs in theBBNJAgreement. Both China’s international practices in marine protected areas and its domestic legal framework demonstrate China’s endorsement of using the environmental impact assessment system to protect the marine environment and prevent or reduce environmental harm. In terms of the threshold for EIAs, although in the 2017WrittenComments ontheElementsforaDraftInternationalInstrumentontheConservationandSustainableUseofMarineBiodiversityinAreasBeyondNationalJurisdiction,China expressed the view that the threshold for EIAs should be that there are “reasonable grounds for believing” that the activity “may cause substantial pollution or significant and harmful changes”. During the BBNJ negotiation process, China, along with other States parties, reached a consensus on the threshold for EIAs, supporting the threshold of “more than a minor or transient effect” to trigger an assessment. In terms of decision-making, China supports a State-led rather than a Conference of the Parties-led approach to environmental impact assessment. In terms of monitoring, China attaches importance to the protection of the marine environment by means of monitoring. In its practices within the Antarctic marine protected areas, China has raised improvements to existing Antarctic research and monitoring plans and has submitted corresponding proposals accordingly. EIAs involve assessing the effects of planned activities based on the best available scientific evidence to prevent serious or irreversible harm to the environment. These assessments are of vital importance for achieving the goals of conservation and sustainable use of marine biodiversity. As far as the implementation of theBBNJAgreementis concerned, China should advocate the application of the precautionary approach in practice.

VI. Conclusion

In the light of the still evolving nature of marine science and technology and the incomplete knowledge and understanding of marine ecology by the international community, there exists uncertainty regarding the impact of human activities on the marine ecosystems and biodiversity, leading to risks of environmental harm. In this regard, the precautionary approach encompasses three fundamental aspects: Scientific uncertainty, risk of environmental harm, and actions to be taken. The precautionary approach and the precautionary principle share similarities in that they both aim to avoid environmental harm risks. Concerning their differences, in comparison to the precautionary principle, the precautionary approach is characterized by its clear legal clarity, flexibility, and alignment with the concept of sustainable development, enabling it to guide the implementation of various parts of theBBNJAgreementwhile also promoting the conservation and sustainable use of marine biodiversity. Therefore, to achieve the goals of the conservation and sustainable use of marine biodiversity in areas beyond national jurisdiction, theBBNJAgreementshould interpret the “precautionary approach” or the “precautionary principle” in its general principles and approaches section as the precautionary approach. This would be more practically meaningful for ABMTs and EIAs.

In terms of general principles and approaches, choosing to apply the precautionary approach allows for a balanced consideration of both environmental and socio-economic interests while facilitating the alignment and harmonization of theBBNJAgreementwith other international agreements. When applied to ABMTs, the precautionary approach allows for tailoring of precautionary measures based on different forms of ABMTs, thus effectively mitigating the potential for serious or irreversible harm to the environment. In the context of EIAs, the application of the precautionary approach enables a comprehensive assessment of the various impacts associated with the planned activities.

From the perspective of China, the precautionary approach holds practical significance. China places a strong emphasis on the application of precaution in its domestic laws, as seen in theDeepSeaLaw’s provisions that reflect the concept of precaution. China’s requirements for monitoring of deep seabed mining activities also demonstrate the prudent management of environmental harm risks. China’s support for the precautionary approach is also evident in its practices within the ISA and in the Antarctic. ISA has introduced the precautionary approach to manage exploration and exploitation activities for mineral resources, aiming to prevent serious or irreversible harm to the environment arising from deep seabed mining. To protect the marine environment, ISA has also applied the precautionary approach in the Areas of Particular Environment Interest within the regional environmental management plan for the CCZ, as well as in the newly designated Areas of Particular Environment Interest. Moreover, in China’s proposal for the Ross Sea region Marine Protected Area in Antarctica, we emphasized the use of the best available science as a condition for applying the precautionary approach,as the best available science can provide the necessary scientific information for implementing the precautionary approach.

Translators: CHEN Cong, YAN Lilan

Editor (English): HUANG Yuxin