中国视角下风险预防方法在《BBNJ 协定》中的适用

2023-04-17王金鹏姜文琪

中华海洋法学评论 2023年2期

王金鹏姜文琪

一、问题的提出

国家管辖范围以外区域（Areas beyond national jurisdiction）海域约占全球海洋面积的三分之二。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).随着海洋科学和技术的发展，人类对海洋的开发和利用能力日益增强，渔业、航运、矿产资源开发等人类活动影响了国家管辖范围以外区域海洋生物多样性（Marine biological diversity of areas beyond national jurisdiction）。然而，国际社会缺乏有效的管理机制应对海洋生物多样性的下降。2Fran Humphries & Harriet Harden-Davies, Practical Policy Solutions for the Final Stage of BBNJ Treaty Negotiations, Marine Policy, Vol. 122, p. 1 (2020).为解决这一问题，联合国大会通过第72/249 号决议，决定召开政府间会议就国家管辖范围以外区域海洋生物多样性的养护和可持续利用问题拟定一份具有法律约束力的国际文书。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.截至目前已经进行了五次政府间会议，讨论“一揽子事项”中包含的海洋遗传资源、包括海洋保护区在内的划区管理工具、环境影响评价和能力建设与海洋技术转让四个关键问题。分别于2018 年9 月、2019 年3 至4 月、2019 年8 月、2022 年3 月以及2022 年8 月召开了五次政府间会议。2023年2 月至3 月召开了第五次政府间会议的续会，续会通过了《〈联合国海洋法公约〉下国家管辖范围以外区域海洋生物多样性的养护和可持续利用协定》（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，以下简称“《BBNJ 协定》”）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 日政府间会议正式通过了该协定。5《联合国通过保护海洋生物多样性的历史性协定》，载联合国网站2023 年6 月19 日，https://news.un.org/zh/story/2023/06/1118977。《BBNJ 协定》将于2023 年9 月20 日起开始签署。

为了实现养护和可持续利用国家管辖范围以外区域海洋生物多样性的目标，《BBNJ 协定》中第一部分“原则与方法”、第三部分“划区管理工具”以及第四部分“环境影响评价”都涉及到风险预防方法的适用。风险预防方法是国际环境法中的概念，对海洋环境保护和资源保护具有重要意义。例如，国际海底管理局（以下简称“海管局”）为规范开发行为，保护海洋环境免受开发活动产生的有害影响，将风险预防方法纳入到《“区域”内矿物资源开发规章草案》。6《“区域”内矿物资源开发规章草案》第2 条。该规章草案第2（e）条第二项、第44（a）条都提到了适用风险预防方法。此外，国际海洋法法庭海底争端分庭在“关于担保个人和实体从事‘区域’内活动的国家所负责任和义务的咨询意见”中指出，担保国和海管局都有义务采用风险预防方法。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.由于国家管辖范围以外区域海洋生态环境动态复杂8同前注2, Fran Humphries & Harriet Harden-Davies, p. 3.，国际社会对国家管辖范围以外区域海洋生物多样性及生态系统的认识并不充分，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).人类活动对国家管辖范围以外区域海洋环境以及生物多样性的影响具有不确定性。有必要采纳风险预防方法以避免或减少人类活动对海洋生态环境产生的影响。

《BBNJ 协定》政府间会议期间多次讨论了风险预防方法在《BBNJ 协定》中的适用，谈判各方的分歧集中在《BBNJ 协定》应适用风险预防方法（Precautionary Approach）还是风险预防原则（Precautionary Principle）。2023 年第五次政府间会议续会期间各方着重讨论了划区管理工具中紧急措施是否适用风险预防的问题。最终通过的《BBNJ 协定》采用了折中方案，即在“一般原则和方法”部分同时规定了风险预防方法和风险预防原则，以实现最大范围的认可。《BBNJ 协定》中划区管理工具部分使用了风险预防方法的措辞，环境影响评价部分的具体条款体现了风险预防方法的适用。

目前对风险预防方法在《BBNJ 协定》中适用这一问题的研究较少。有学者研究了《BBNJ 协定》谈判过程中存在风险预防方法和风险预防原则的分歧，例如，外国学者坦雅·瓦格纳尔（Tanya Wagenaar）研究了作为《BBNJ 协定》一般原则的风险预防，其认为风险预防原则和风险预防方法之间具有模糊性，并认为采用“适用风险预防”的表达可以规避这一分歧。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“适用风险预防”的措辞会使条文的清晰度存疑。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).有学者从总体上研究了法律原则对于《BBNJ 协定》的作用，说明了风险预防原则对海洋保护区的作用。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).也有学者提及风险预防方法对养护海洋生物多样性具有重要意义。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 协定》背景下结合风险预防方法与风险预防原则之间的区别，讨论风险预防方法的适用问题。

中国在《BBNJ 协定》谈判中支持适用风险预防方法。例如，第三次政府间会议期间，中国支持适用风险预防方法。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.近年来，中国的海洋科学和技术能力不断提升，在国家管辖范围以外区域的航运、渔业和科研活动日益增多。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.中国参与《BBNJ 协定》实施具有重要意义。因此，本文从中国视角分析了风险预防方法在《BBNJ 协定》中的适用问题。本文将结合风险预防方法的内涵及风险预防方法与原则之间的区别，讨论其在《BBNJ 协定》中适用的必要性，继而具体分析《BBNJ 协定》中体现风险预防方法的具体条款及其实施。

二、风险预防方法的内涵及在其在《BBNJ 协定》中适用的必要性

《BBNJ 协定》是就国家管辖范围以外区域海洋生物多样性的养护和可持续利用问题拟定的一份具有约束力的国际文书。其主要目的在于确保国家管辖范围以外区域海洋生物多样性的当前以及长期养护和可持续利用。国际社会对国家管辖以外区域生态环境的认识有限。人类活动对国家管辖范围以外区域生态的影响具有不确定性。风险预防方法体现了谨慎管理环境损害风险的理念，对管理国家管辖范围以外区域环境损害风险具有重要意义。本部分梳理风险预防方法的内涵，区分风险预防方法与风险预防原则，并讨论风险预防方法在《BBNJ 协定》中适用的必要性问题。

（一）风险预防方法与风险预防原则

风险预防方法作为国际环境法的一项基本原则，可以追溯到20 世纪70 年代的德国环境法中“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国家应该通过谨慎的前瞻性规划来避免环境破坏。17Timothy O’Riordan & Andrew Jordan, The Precautionary Principle in Contemporary Environmental Politics, Environmental Values, Vol. 4:3, p. 193 (1995).1992 年《里约环境与发展宣言》（Rio Declaration on Environment and Development，以下简称“《里约宣言》”）采用了风险预防方法。该宣言原则15 指出，为了进行环境保护，各国应当依照本国的实际能力普遍地采用风险预防方法，在存在严重或不可逆转的损害威胁的情况下，不得以缺乏充分的科学确定性为由推迟采取符合成本效益的措施防止环境退化。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.据此，可知风险预防方法包含三个基本内涵：一是存在环境损害风险，风险需要达到一定的阈值；二是科学不确定性，不能因具有科学不确定性而拒绝采取措施保护环境；三是采取措施，即采取措施以预防环境损害发生。

实践中，围绕风险预防存在原则还是方法的争议。首先，相对于风险预防原则，风险预防方法被认为更具有灵活性。在国际海洋法法庭的“南方蓝鳍金枪鱼案”中，莱恩法官（Edward A. Laing）在其独立意见中指出，风险预防方法适当引入了灵活性。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，国际社会对于风险预防原则是否具有习惯国际法的性质存在疑问。在欧洲共同体（European Community，以下简称“欧共体”）转基因农产品案中，欧共体认为风险预防原则具有习惯国际法的性质。而美国认为风险预防原则不具有习惯国际法的地位。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，风险预防方法被认为更符合可持续发展理念。可持续发展理念体现为在环境利益与经济社会利益之间进行平衡。换言之，保护环境利益的同时不能牺牲经济社会利益。风险预防原则通常规定禁止性的措施，如为保护渔业资源对大规模远洋流网捕捞完全禁止，会导致渔业停止。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).风险预防方法具有灵活适用的特点，在实施过程中能够兼顾环境利益与经济社会利益，能够更好的实现可持续发展。

学术界也讨论了风险预防方法和风险预防原则之间的区别。一些学者认为，风险预防方法和风险预防原则的差异并不明显。然而，全球协议更多采用风险预防方法而不是风险预防原则22Patricia Birnie, Alan Boyle & Catherine Redgwell, International Law and the Environment(Third Edition), Oxford University Press, 2009, p. 155-160.。例如，《执行1982 年12 月10 日〈联合国海洋法公约〉有关养护和管理跨界鱼类种群和高度洄游鱼类种群的规定的协定》（以下简称“《联合国鱼类种群协定》”）第六条指出，各国应采取风险预防方法，养护、管理和开发跨界鱼类种群和高度洄游鱼类种群，以保护海洋生物资源和维护海洋环境。23《执行1982 年12 月10 日〈联合国海洋法公约〉有关养护和管理跨界鱼类种群和高度洄游鱼类种群的规定的协定》第6 条。

（二）风险预防方法在《BBNJ 协定》中适用的必要性

风险预防对保护海洋环境、养护海洋生物多样性具有重要意义。自《BBNJ协定》谈判伊始，各方既已认识到适用风险预防保护海洋环境和养护海洋生物多样性的重要性。2006 年BBNJ 不限成员名额非正式特设工作组会议既已指出捕捞、垃圾倾倒等人类活动对国家管辖范围以外区域海洋生物多样性造成了巨大威胁，并且认为风险预防方法和生态系统方法是应对这种威胁的根本性原则。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，人类活动对国家管辖范围以外区域海洋生物多样性存在损害威胁。通常，风险预防方法的适用以存在严重或不可逆的损害威胁为阈值。要判断某一活动是否达到适用风险预防方法的阈值需要基于现有最佳科学证据。航运、捕鱼等人类活动对国家范围以外区域海洋生物多样性的影响不可避免。海洋科学研究、深海海底采矿和环境改造活动等有可能损害国家管辖范围以外区域海域具有相互关联和敏感性的生态系统。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，海底拖网的捕鱼方式会造成严重的环境影响；深海采矿所使用的设备以及采矿过程中产生的沉积物羽流可能会损害海底独特的生态系统，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.可能破坏生物栖息地导致生物多样性的丧失。27C. L. Van Dover, et al., Biodiversity Loss from Deep-Sea Mining, Nature Geoscience, Vol.10, p. 464 (2017).世界自然保护联盟在2023 年发布的最新评估中指出，近10%的海洋物种面临灭绝的风险。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，人类活动对国家管辖范围以外区域海洋生物多样性的影响具有科学不确定性。虽然，海洋科学和技术的发展加深了人类对于海洋的认识和了解，但海洋科学研究仍处于发展阶段，对海洋环境以及人类活动对海洋环境影响的认识仍然有限。29Robin Warner, Environmental Assessment in Marine Areas beyond National Jurisdiction:Practice and Prospects, the American Society of International Law, Vol. 111, p. 252 (2017).对有关海洋生物多样性分布以及这些生态系统对人类活动的脆弱性等关键信息认识不足。30同前注9，Elizabeth M. De Santo 等。因此，国际社会对人类活动对海洋生态环境的具体影响、活动与损害之间的关系以及如何消除活动的影响的认识具有科学不确定性。

在谈判期间，各方对《BBNJ 协定》文本将风险预防规定为“风险预防原则”还是“风险预防方法”存在分歧。《BBNJ 协定》第三次政府间会议期间，有代表提出在一般原则和方法部分加入风险预防原则/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.随后第四次政府间会议期间的案文草案第5 条“一般原则与方法”中（e）项拟定为风险预防方法或风险预防原则（precautionary approach/principle）。但这一表述引起的各方的争议，各方对应当适用风险预防方法还是风险预防原则存在分歧。以欧盟为代表的国家支持适用风险预防原则，而美国、日本、韩国等国家认为《BBNJ 协定》中应适用风险预防方法。为避免分歧，第五次政府间会议将案文草案修改为实施风险预防（the application of precaution）。这种折中方案仅得到少部分代表的认可，并没有解决风险预防原则还是风险预防方法的争议。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.最终各方达成妥协，将《BBNJ协定》第7 条“一般原则和方法”第5 项规定为，“在适当情况下，风险预防原则或风险预防方法”（The precautionary principle or precautionary approach, as appropriate）。33《〈联合国海洋法公约〉下国家管辖范围以外区域海洋生物多样性的养护和可持续利用协定》第7 条。分歧背后的原因是虽然风险预防方法和原则都具有预防不确定的环境损害风险的作用，但实施过程中在灵活性等方面存在差异。各方虽认同《BBNJ协定》采用的妥协方式，但在后续《BBNJ 协定》的实施中，因各国对风险预防原则和风险预防方法理解的差异以及各国立场的区别，适用“风险预防原则”还是“风险预防方法”的分歧仍然存在。

《BBNJ 协定》规定在拟定划区管理工具提案、实施紧急措施以及调整划区管理工具的养护措施时要适用风险预防方法。在谈判中，各国对风险预防在划区管理工具部分的适用也存在风险预防方法还是风险预防原则的分歧。结合划区管理工具的目的以及风险预防方法与风险预防原则之间的差异，风险预防方法更有益于实现养护和可持续利用养护生物多样性的目标。这一目的同时包含养护与利用两个方面。全球范围内存在多种形式的划区管理工具，如海洋保护区、特殊区域和敏感海域、区域环境管理计划、特别环境利益区、季节性或全年休渔区以及脆弱海洋生态系统等。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).各种类型的划区管理工具养护目的不同，风险预防方法具有灵活性，意味着其在实施时具有一定的弹性，能够结合不同类型划区管理工具的特点及需保护区域的特定生态环境，采取具有差异性的风险预防措施，预防环境损害风险。同时，风险预防方法在实施过程中能兼顾环境利益与经济社会利益，能实现对海洋生物多样性的养护与利用。

《BBNJ 协定》对环境影响评价的门槛、决策、监测授权活动的影响的规定也体现了风险预防方法。环境影响评价过程可以揭示一项活动对生态系统多个组成部分的潜在影响范围以及减轻预测影响的可能方法。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.环境影响评价作为评估拟开展活动存在的环境损害风险的一种方式，其本身体现了谨慎管理风险的理念，是管理环境损害风险的一种方法。风险预防方法具有灵活性，更能在环境影响评价过程中识别各种活动之间损害程度的差异。例如，海洋科学研究行为会对海洋环境产生损害。海洋科学研究有时会将声音引入海洋环境，会对海洋生物产生不利影响。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).但并非所有的声音都会对海洋生物产生不利影响，同一种声音的强度对海洋生物影响的程度不同，风险预防方法可以根据其损害程度不同制定不同的风险预防措施。而适用风险预防原则可能会导致此类科学研究行为的完全禁止。海洋科学研究能够为海洋生物多样性的保护提供所需要的信息和数据，在进行环境影响评价时需要区分损害达到的程度制定预防措施，不能完全禁止。

因此，虽然《BBNJ 协定》第7 条规避了“风险预防方法”还是“风险预防原则”的分歧，但实践中仍面临着适用“风险预防方法”还是“风险预防原则”的争议。风险预防方法适用于《BBNJ 协定》有其必要性。风险预防方法能避免不确定环境损害风险造成的严重的或不可逆的环境损害，对保护海洋环境和养护海洋生物多样性具有重要作用。风险预防方法具有灵活性，能兼顾环境利益与社会经济利益，在划区管理工具中适用风险预防方法有助于实现养护和可持续利用生物多样性的目标。环境影响评价可以看作一种预防风险的方式，体现了谨慎管理风险的理念。

三、一般原则与方法中的风险预防方法与中国参与

在BBNJ 第一次会议中，国际社会已认识到，各项原则可为全球共识提供基础，以养护和可持续利用海洋生物多样性。37同前注24, UNGA, para. 23, 33.《BBNJ 协定》第7 条规定缔约方应当在适当情况下，遵循风险预防原则或风险预防方法。38《〈联合国海洋法公约〉下国家管辖范围以外区域海洋生物多样性的养护和可持续利用协定》第7 条。该规定采取了一种具有选择性的适用方法，这是一种妥协的方案，并没有从根本上解决各方之间关于“风险预防方法”与“风险预防原则”的分歧。

在谈判中，中国倾向于《BBNJ 协定》适用“风险预防方法”。中国在海管局的实践也支持对风险预防方法的适用。海管局先后制定的三个勘探规章中均体现了风险预防方法。39《“区域”内多金属结核探矿和勘探规章》第2（2）条；《“区域”内多金属硫化物探矿和勘探规章》第2（2）条；《“区域”内富钴铁锰结壳探矿和勘探规章》第2（2）条。海管局草拟的《“区域”内矿物资源开发规章草案》第44 条指出海管局、担保国和承包者应采用风险预防方法，评估和管理“区域”内开发活动损害海洋环境的风险。40《“区域”内矿物资源开发规章草案》第44 条。结合风险预防原则和风险预防方法之间的区别，中国支持适用风险预防方法主要有以下原因。

第一，风险预防方法具有灵活性，其在实施过程中往往表现为“软”方法，41同前注21，John M. MacDonald。能灵活应对人类活动产生的环境损害风险。海洋科学研究活动也存在环境损害风险。有些海洋科学研究需要在海洋中使用研究设备或搭建科学研究平台，有的需要在海洋中使用钻探技术进行取样，这些行为可能会影响海洋物种或生境，破坏海洋生态系统的结构特征。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).风险预防方法可以根据海洋科学研究活动对海洋环境的损害程度，灵活适用风险预防措施。而风险预防原则往往是“硬”性的禁止性保护规则。43同前注21，John M. MacDonald。这意味着，一些对海洋环境的损害程度低于“严重的或不可逆的损害风险”的海洋科学研究活动会被禁止，这会影响国际社会在国家管辖范围以外区域进行海洋科学研究的自由。

第二，风险预防方法法律性质明晰，能更好的发挥预防环境损害风险的作用。实践中，国际社会对于风险预防原则是否具有习惯国际法的性质存疑。欧盟一贯主张风险预防方法具有习惯国际法的性质，相反美国认为风险预防原则不具有习惯国际法的性质。44同前注20。习惯国际法具有两个构成要件：一般惯例与法律确信。在实践中，现有国际文书中，有的适用风险预防方法，如《里约宣言》；有的适用风险预防原则，如《保护东北大西洋海洋环境公约》（Convention for the Protection of the Marine Environment of the North-East Atlantic）第2 条规定缔约方应适用风险预防原则。45《保护东北大西洋海洋环境公约》第2 条。可见，未形成一致的实践，不构成一般惯例。由于国际社会对风险预防原则的法律性质存在争议，显然并未形成法律确信。因此，风险预防原则不构成习惯国际法。风险预防方法的法律性质明晰，其作为具体的保护措施，能更好应对不确定的环境损害风险。

第三，风险预防方法能够兼顾环境利益与社会经济利益，有利于《BBNJ 协定》目标的实现。《BBNJ 协定》的一般目标是确保国家管辖范围以外区域海洋生物多样性的当前及长期的养护和可持续利用。46《〈联合国海洋法公约〉下国家管辖范围以外区域海洋生物多样性的养护和可持续利用协定》第2 条。这一目标包含养护海洋生物多样性和可持续利用海洋生物多样性两个方面。风险预防方法作为一种“软”方法，适用具有弹性，能兼顾环境利益与社会经济利益。因此，风险预防方法可以在预防环境损害的同时，不完全禁止利用海洋，可以实现《BBNJ 协定》目标的两个方面。而风险预防原则通常表现为禁止性规定，能够预防环境损害风险，但会影响对海洋的利用，不利于《BBNJ 协定》目标的实现。

综上，虽然《BBNJ 协定》采用了选择适用“风险预防方法”或“风险预防原则”的方式，规避了谈判中关于采用“风险预防原则”还是“风险预防方法”的分歧，但各国基于自身立场和对条文理解的差异，适用“风险预防方法”还是“风险预防原则”的矛盾并没有被实质解决。风险预防方法具有灵活性、法律性质明晰，兼顾环境利益与社会经济利益等特点，有益于实现《BBNJ 协定》的目标。因此，在实践中应选择适用“风险预防方法”而非“风险预防原则”。一般原则和方法对《BBNJ协定》其他部分条款的解释和适用具有普遍的指导意义。选择适用“风险预防原则”还是“风险预防方法”，会影响《BBNJ 协定》划区管理工具部分以及环境影响评价中条款的适用。

四、划区管理工具中的风险预防方法与中国参与

包括海洋保护区在内的划区管理工具是2011 年商定的《BBNJ 协定》谈判的四个关键议题之一。划区管理工具是保护海洋生物多样性的关键工具，目的在于通过对不同区域采取不同的养护措施，保护和恢复生物多样性和生态系统。《BBNJ协定》中划区管理工具部分涉及风险预防方法的条款有第19 条第3 款、第24 条以及第26 条。

（一）划区管理工具的提案

《BBNJ 协定》第19 条第3 款指出拟定提案时应立足最佳可得科学（the best available science）和科学信息以及在可获得的情况下，土著人民和当地社区的相关传统知识，同时考虑到风险预防方法和生态系统办法。47《〈联合国海洋法公约〉下国家管辖范围以外区域海洋生物多样性的养护和可持续利用协定》第19 条。在谈判中，各方对提案中适用风险预防方法还是风险预防原则存在分歧。48同前注14，IISD。中国支持风险预防方法在划区管理工具条款中的适用。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.

在拟定提案时适用风险预防方法有助于实现划区管理工具的目标，即通过建立包括具有生态代表性和良好连通性的海洋保护区网络在内的划区管理工具综合系统，养护和可持续利用需要保护的区域。50《〈联合国海洋法公约〉下国家管辖范围以外区域海洋生物多样性的养护和可持续利用协定》第17 条。根据《BBNJ 协定》，在拟定提案时，应制定划区管理工具的管理计划草案。管理计划草案具体包括：拟议措施以及为实现具体目标将开展的监测、研究和审查活动的概述。此处的管理计划应根据需保护区域的生物多样性状况、海洋环境以及养护目标等因素制定。以国家管辖范围以外区域海洋保护区为例。国家管辖范围以外区域海洋保护区是通过在公海和国际海底区域的特定海域采取对特定人类活动的限制，以达到长期保护海洋生态环境和养护生物资源的目的。51王金鹏：《国家管辖范围外海洋保护区治理的国际合作与协调》，载《武大国际法评论》2022 年第6 期，第66 页。如果在设立海洋保护区的提案中适用风险预防原则，其作为一个具有禁止性的规定，可能会导致该区域被封闭，不仅会限制人类的特定活动，甚至会禁止此类活动。这与《联合国海洋法公约》（United Nations Convention on the Law of the Sea）所倡导的公海自由原则相冲突。而具有灵活性的风险预防方法，在适用时可以根据人类活动对海洋环境的损害程度，对特定行为进行限制，兼顾对特定区域的保护与利用。因此，在划区管理工具提案中适用风险预防方法能够兼顾海洋生物多样性的养护与可持续利用。

中国在海管局的实践表明中国支持在国际海底治理中适用风险预防方法管理和预防海洋环境损害风险。2011 年，为保护克拉里昂-克利珀顿区（Clarion-Clipperton Zone，以下简称“CC 区”）生物多样性结构和生态功能不受人类活动的潜在影响，海管局法律和技术委员会提出了区域环境管理计划，计划中包含由9个特别环境利益区（Areas of particular environmental interest）构成的网络，要求实施风险预防方法。中国对这一计划表示支持并认为区域环境管理计划对环境管理具有重要作用，并且支持制定区域环境管理计划指南。此外，中国在南极海洋保护区的实践中认为适用风险预防方法需要基于一定的科学证据。在2014 年围绕南极罗斯海海洋保护区进行谈判时，中国提出了建立海洋保护区适用风险预防方法的前提条件，即风险预防方法的适用必须基于科学证据。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.

综上，风险预防方法的灵活性能够结合具体的划区管理工具的类型，区别采用风险预防措施，在减少制定的养护措施对海洋生态环境造成的损害的同时兼顾社会经济效益，符合可持续发展的理念。而风险预防原则作为“硬性”的规定，可以导致特定区域的封闭，影响各国对海洋的利用。在实践中，中国支持基于科学证据适用风险预防方法。

（二）作为紧急措施的划区管理工具

《BBNJ 协定》第24 条第3 款规定，在紧急情况下采取的措施应基于最佳可得科学和科学信息，以及在可获得的情况下，土著人民和当地社区的相关传统知识，并考虑风险预防方法。此类措施可由缔约方提议或由科学和技术机构建议，并可在闭会期间通过。这些措施应是临时性的，必须在通过后由缔约方大会下一次会议重新审议以作出决定。53《〈联合国海洋法公约〉下国家管辖范围以外区域海洋生物多样性的养护和可持续利用协定》第24 条。紧急措施是应对突发事件的临时性措施，被用来应对水下火山喷发、海底滑坡等突发事件。54IISD, Daily Report for 19 August 2022, Earth Negotiations Bulletin (22 August 2022),https://enb.iisd.org/sites/default/files/2022-08/enb25235e.pdf.

紧急措施是否适用于《BBNJ 协定》在第五次政府间会议开始被着重讨论。55同前注32, IISD。第五次政府间会议续会期间，各方总体上赞同在划区管理工具部分设置紧急措施条款，并重点讨论了风险预防方法在紧急措施中的适用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.以及紧急措施的阈值等。57同前注32, IISD。紧急措施适用的阈值是“造成严重或不可挽回的损害”，即某一自然现象或人为灾害已经或可能对国家管辖范围以外区域海洋生物多样性造成严重或不可挽回的损害。在适用紧急措施时要基于现有最佳科学和科学信息，最佳科学证据能为紧急措施的制定提供可用的信息和数据，以达到紧急措施预防和减少损害的目的。

风险预防方法能避免临时性的紧急措施对海洋环境造成严重或不可逆的损害。紧急措施往往是为应对紧急情况设立的，以预防或减少自然现象或人为灾害对海洋环境造成的突然影响。因此，紧急措施实施时可能产生具有不确定性的环境损害风险。风险预防方法能够谨慎管理风险，灵活应对紧急措施可能导致的环境损害。在实践中，也存在紧急措施应用的情况。例如海管局制定的《“区域”内矿物资源开发规章草案》（Draft Regulations on Exploitation of Mineral Resources in the Area）第28 条规定了商业采矿过程中所实施的紧急措施，指出深海海底商业采矿过程中，在海洋环境可能受到损害或严重损害威胁的情况下，需要减少或停止生产时，承包者应暂时减少或暂停生产。58《“区域”内矿物资源开发规章草案》第28（3）条。可见，在商业采矿过程中如果海洋环境受到损害或严重损害威胁，需要及时减少或暂停，以保护海洋环境。

（三）划区管理工具养护措施的调整

《BBNJ 协定》第26 条监测和审查的第5 款指出调整划区管理工具的养护措施时应适用风险预防方法。具体而言，修订、延长或撤销养护措施时，应考虑到风险预防方法和生态系统办法。调整养护措施的原因是现有养护措施已不适宜需要保护的区域，为实现养护和可持续利用的目标，需要结合特定区域的恢复状况以及气候变化、海洋酸化等自然条件的变化及时调整养护措施。为实现划区管理工具的养护目标，需要根据监测和定期审查的结果，及时调整养护措施。简言之，调整养护措施即保持某一区域养护措施的有效性。保持养护措施的有效性，需要根据不同区域的海洋生态特征进行调整。

风险预防方法具有灵活性，在调整养护措施时适用风险预防方法，其可以根据养护措施调整的具体方案，及时调整风险预防措施。另一方面，风险预防方法兼顾环境利益和社会经济利益，更符合可持续发展理念，调整养护措施时适用风险预防方法，可以考虑到各国科学技术能力、经济以及社会条件，采取符合成本效益的方式，避免增加成本。由于物种分布随年度周期而变化，年度内和永久性封闭通常针对平均条件，而季节性封闭则针对最受关注的时间段。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).风险预防方法可以结合该保护区的周期变化调整风险预防措施，避免该区域的过度封闭。

中国在海管局的实践体现了支持适用风险预防方法。海管局制定了CC 区的区域环境管理计划，旨在保护整个地区的生物多样和生态系统结构和功能。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/.深海采矿计划往往在生态和敏感性不为人知的地方展开，这导致在估计影响和建立管理活动方面存在很大的不确定性，风险预防方法是应对这种不确定性的关键工具。61Daniel O. B. Jones, et al., Existing Environmental Management Approaches Relevant to Deep-Sea Mining, Marine Policy, Vol. 103, p. 172-181 (2019).CC 区的区域环境管理计划（Regional Environmental Management Plan）开始涵盖9 个特别环境利益区。2021 年为增强特别环境利益区网络，海管局计划新增四个特别环境利益区。中国赞同新增特别环境利益区，并支持适用风险预防方法。这体现了中国支持在调整养护措施时适用风险预防方法。此外，中国在南极海洋保护区的实践也体现了重视风险预防方法的态度。2018 年中国提出了关于改进罗斯海海洋保护区研究和监测计划草案的提案，中国认为研究和监测计划对海洋保护区开发和发展至关重要，需要调整在海洋保护区的监测方案。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.监测可以为适用风险预防方法或对拟在南极开展的活动进行环境影响评价提供科学证据。这一关于调整养护措施的提案表明中国在实践中谨慎管理环境损害风险，重视风险预防方法在调整养护措施中的应用。

（四）小结

划区管理工具部分适用风险预防方法具有重要意义。划区管理工具包括多种管理形式，在实践中建立划区管理工具需要立足现有最佳科学，评估需要保护区域的生态系统、栖息地和种群等潜在风险和威胁，衡量不同海域生态的独特性、敏感性、脆弱性等各方面的因素，选择最佳的形式保护和恢复需要保护区域的生态状况。在拟定提案、制定或调整养护措施时适用风险预防方法，能够综合目前海洋科学和技术的发展水平，社会经济条件等各方面的因素，应对海洋酸化、气候变化、科研和资源的勘探开发活动对海洋环境和生物种群的不确定性损害风险。在《BBNJ 协定》的实施中，因风险预防方法具有灵活性，能根据需要保护区域的生态特征、恢复状况等因素，及时应对调整养护措施带来的不确定性风险。由于海洋环境具有动态特征，某一区域中的生物资源并非平均分布，其会根据季节变化、洋流、食物等因素在海洋中移动，或因气候变化向高纬度洄游。63同前注59，Guillermo Ortuno Crespo, et al., p. 1-10。风险预防方法会根据监测的具体数据，调整特定区域的封闭或开放，而并非僵化的完全封闭，平衡对海洋生物多样性的养护与利用。

五、环境影响评价中的风险预防方法与中国参与

环境影响评价（Environmental impact assessment）是被国际社会广泛接受的一项基本义务。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).《联合国海洋法公约》第204 条、第 205 条和第 206 条分别涉及“对污染危险或影响的监测”“报告的发表”“对各种活动可能的影响进行评价”。国际法院在“乌拉圭河纸浆厂”案（阿根廷诉乌拉圭）的判决中确认了环境影响评价是习惯国际法规定的一般义务。65ICJ, Case concerning Pulp Mills on the River Uruguay (Argentina v. Uruguay), Judgement of 2010, para. 204.《生物多样性公约》（Convention on Biological Diversity）第14 条将环境影响评价与避免或减少环境损害联系起来。66《生物多样性公约》第14 条。为了实现养护和可持续利用海洋生物多样性的目标，《BBNJ 协定》将环境影响评价作为核心部分之一。《BBNJ 协定》中环境影响评价部分涉及风险预防方法的条款主要有第30 条门槛和因素、第34 条决策、第35 条监测授权活动的影响、第38条科学和技术机构应制定的与环境影响评价有关标准和准则等。以下讨论环境影响评价的门槛、决策以及监测授权活动的影响三个体现风险预防方法的具体条款。

（一）环境影响评价的门槛

《BBNJ 协定》第30 条规定了进行环境影响评价的门槛和因素。该条指出，如果计划活动对海洋环境产生的影响可能超出轻微或短暂的程度，或者活动的影响未知或知之甚少，管辖或控制该活动的缔约方应对该活动进行筛选。《BBNJ 协定》采用了分层的方式规定环境影响评价的门槛。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.“超过轻微或短暂”的活动需要进行筛选，筛选是环境影响评价程序的第一步，其主要作用是通过筛选确定计划的活动是否需要进行环境影响评价。筛选时应立足现有最佳科学和科学信息，充分考量各方面的因素，评估计划的活动是否可能对海洋环境造成重大污染或重大有害变化。可能造成重大污染或重大有害变化的活动应进行环境影响评价。

这一规定体现了对环境损害风险的谨慎管理，以防止计划的活动对海洋环境造成严重或不可逆的损害。该条规定对“活动效应未知或知之甚少”的活动进行筛选，体现了对具有不确定性影响的活动的谨慎管理，符合风险预防内涵包括的科学不确定性、环境损害风险以及采取措施三个基本内涵。此外，《BBNJ 协定》将环境影响评价的门槛设置为分层的形式，一定程度上体现了灵活性以及符合成本效益的理念。《BBNJ 协定》在一般原则和方法部分规定了选择适用风险预防方法或风险预防原则，结合环境影响评价规定的门槛来讲，适用风险预防方法对环境影响评价的过程具有现实意义。

在实践中，对拟开展的活动进行环境影响评估首先需要判断是否达到开展环境影响评估的门槛。如果拟开展活动对海洋环境造成了可能”超出轻微或短暂“的影响，需按《BBNJ 协定》规定的要素进行筛选。例如，筛选拟开展活动类型和使用的技术以及开展方式、活动持续时间、活动地点、活动可能影响等。根据筛选的结果判断活动是否可能对海洋环境造成重大污染或重大和有害变化。例如，拟开展碳封存活动，根据《BBNJ 协定》需要对其进行环境影响评估。二氧化碳捕获与封存（Carbon capture and storage, CCS）技术是通过除去大气中的二氧化碳，应对全球变暖的关键技术。68Douglas P. Connelly, et al., Assuring the Integrity of Offshore Carbon Dioxide Storage,Renewable and Sustainable Energy Reviews, Vol. 166, p. 1-9 (2022).二氧化的释放可能会影响释放地点以及附近的底栖生物群和海洋生态环境，主要受海底沉积物性质的影响，泥沙受影响较大。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).对其开展环境评价，需要综合考虑建立海上平台设施建立的地点、海底沉积物的性质、二氧化碳释放对海洋环境的影响等因素。风险预防方法的灵活性能综合考虑碳封存活动存在的环境损害风险与其带来的社会效益。

《BBNJ 协定》规定的环境影响评价门槛与《关于环境保护的南极条约议定书》（The Protocol on Environmental Protection to the Antarctic Treaty，以下简称“《马德里议定书》”）相似。《马德里议定书》设置了分层的环境影响评价方式，并在附件一中制定了具体的评估程序：第一，初始阶段。如果在评估的初始阶段确定拟议活动的影响小于轻微或短暂的影响，可活动继续，初步评估在国家层面进行。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，初步环境评价。如果确定某项活动可能产生轻微或短暂的影响，则必须准备初步环境影响评价。第三，全面环境评价。如果初步环境影响评价表明可能产生轻微或短暂的影响，或者如果以其他方式确定可能产生这种影响，则必须准备全面环境影响评价。71《关于环境保护的南极条约议定书》附件一第2 条、第3 条。自2008 年以来，中国在南极展开了多次的环境影响评价活动，多为初步环境评价，仅有少数为全面环境评价。进行全面环境评价的原因主要是建立科考站或运行新设施。中国2008 年在南极建立昆仑站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 年运行新设施时均进行了全面环境评价。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.中国在南极的活动遵守了相关国际条约的规定，履行了环境影响评价义务，体现了中国对拟开展活动可能带来的环境损害风险的审慎管理。

（二）决策

《BBNJ 协定》第34 条决策中指明，在根据本部分确定计划活动可否进行时，应充分考虑按照本部分进行的环境影响评价。缔约方仅应在考虑到减轻或管理措施的情况下，确定其已作出一切合理努力，来确保该活动能以符合防止对海洋环境造成重大不利影响的方式开展时，就管辖或控制下的计划活动作出授权决定。74《〈联合国海洋法公约〉下国家管辖范围以外区域海洋生物多样性的养护和可持续利用协定》第34 条。在BBNJ 谈判中，各方对决策的分歧是环境影响评价由谁主导的问题。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协定》确立了由国家主导的决策标准。

决策涉及应当由谁实施风险预防方法的问题。这一条款指出国家进行计划的活动时，应以环境影响评价的结果为基础，防止对海洋环境造成重大不利影响。这体现了通过采取预防措施谨慎管理环境损害风险以防止计划开展的活动对海洋环境造成重大或不可逆的环境损害，体现了风险预防的理念。《BBNJ 协定》一般方法和原则部分的规定对协定其他部分的实施具有指导意义。《BBNJ 协定》适用风险预防方法或风险预防原则。由国家主导决策意味着国家选择适用风险预防原则还是风险预防方法的结果会影响环境影响评价的决策。

中国国内法关于环境影响评价的实践体现了风险预防方法。中国2002 年通过的《中华人民共和国环境影响评价法》（以下简称“《环境影响评价法》”）要求对规划和建设项目进行环境影响评价，以预防规划和建设项目实施后对环境造成不良影响。76《中华人民共和国环境影响评价法》第7 条、第16 条。这表明中国重视通过环境影响评价的方式管理环境损害的风险。例如，核设施选址在办理审批手续前需要编制环境影响评价报告书，核设施运营单位申请领取核设施建造、运行许可证也应当编制环境影响评价报告书。此外，《防治海洋工程建设项目污染损害海洋环境管理条例》规定了海洋工程环境影响评价制度。该条例第8 条指出，海洋工程的环境影响评价，应当以工程对海洋环境和海洋资源的影响为重点进行综合分析、预测和评估，并提出相应的生态保护措施，预防、控制或者减轻工程对海洋环境和海洋资源造成的影响和破坏。77《防治海洋工程建设项目污染损害海洋环境管理条例》第8 条。对海洋工程进行环境影响评价的目的在于预防、控制和减轻工程造成的海洋环境损害，与风险预防方法内涵的三个基本要素相符。据此，中国国内法制定了综合的环境影响评价制度，通过对拟进行的活动开展环境影响评价，综合控制环境损害风险，体现了中国对于环境损害风险的谨慎管理，也体现了风险预防方法的内涵。

（三）监测授权活动的影响

《BBNJ 协定》第35 条监测授权活动的影响指出，缔约方应利用现有最佳科学和科学信息，在可获得的情况下，土著人民和当地社区的相关传统知识，不断监视其所准许或从事的任何在国家管辖范围以外区域的活动的影响，以确定这些活动是否可能对海洋环境造成污染或不利影响。据此，第35 条主要内容是立足现有最佳科学和科学资料，通过不断监测授权活动的影响，判断在国家管辖范围以外区域的活动是否会污染海洋环境或对其产生不利影响。持续性监测是《BBNJ协定》为缔约方设立的预防环境损害的义务，也是管理风险的一种方式，属于风险预防措施。监测能够获得科学信息和资料，为开展环境影响评价活动提供科学基础，也能为风险预防的实施提供科学基础。

从条文可知监测的对象是缔约方在国家管辖范围以外区域开展的任何活动的影响。还需要考虑相关影响，如经济、社会、文化和人类健康影响。78《〈联合国海洋法公约〉下国家管辖范围以外区域海洋生物多样性的养护和可持续利用协定》第35 条。以深海海底采矿为例，对深海海底采矿活动进行持续性监测，既包括根据商定的生物指标监测深海海底采矿的影响，也包括监测深海海底采矿产生的经济影响、社会影响等方面的相关影响。目前，人类对深海生态系统的结构和功能以及采矿对生态系统影响的程度了解甚少。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).深海海底采矿的潜在影响包括沉积物羽流扩散、水质变化、海底地球化学和物理性质的变化等。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).风险预防方法能够灵活应对因对深海认识不足而导致的具有不确定性的环境损害风险。同时，因为风险预防方法兼顾环境利益与社会经济利益，所以在持续性监测过程中也能考虑到深海海底采矿的经济影响及社会影响等相关影响。

中国在南极海洋保护区的实践以及国内的法律实践反映了中国对于监测的态度。研究和监测计划对海洋保护区的发展和实施至关重要。2018 年中国提交了关于改进罗斯海海洋保护区（Ross Sea region Marine Protected Area）研究和监测计划草案的提案，表明中国重视在罗斯海海洋保护区开展研究和监测计划81同前注62。。在中国的国内法中，监测也被用于保护环境。《环境影响评价法》《中华人民共和国深海海底资源勘探开发法》（以下简称“《深海法》”）以及《海洋环境保护法》中均体现了监测的应用。《环境影响评价法》规定了建设项目环评报告书的内容。环评报告书中应包含环境监测的建议。82《中华人民共和国环境影响评价法》第17 条。《深海法》也为承包者设定了定期向国务院海洋主管部门报告履行环境监测的情况的义务。83《中华人民共和国深海海底区域资源勘探开发法》第13 条。《海洋环境保护法》也要求国家海洋行政主管部门会同有关部门组织全国海洋环境监测、监视网络，定期评价海洋环境质量。84《中华人民共和国海洋环境保护法》第14 条。这表明中国在实践中采用监测的方式预防和管理环境损害风险。

（四）小结

风险预防方法对环境影响评价更具有实际意义。相对于风险预防原则，风险预防方法具有灵活性，对拟开展的活动进行环境影响评价，能够兼顾环境利益和社会经济利益，符合可持续发展的理念。从环境影响评价的门槛来看，设置了分层的方式，具有灵活性，更符合风险预防方法的特征；从决策看，国家选择适用风险预防方法或风险预防原则的结果会影响环境影响评价的决策；从监测授权活动的影响来看，风险预防方法更能兼顾社会影响、文化影响、经济影响等方面。

在实践中，环境影响评价对保护海洋环境免受环境损害具有重要作用。为有效保护海洋环境，针对深海矿物勘探活动，海管局采用了风险预防方法。海管局制定了专门的针对在“区域”内开展探矿活动进行环境影响评价的指南，即《指导承包者评估“区域”内海洋矿物勘探活动可能对环境造成影响的建议》（Recommendations for the guidance of contractors for the assessment of the possible environmental impacts arising from exploration for marine minerals in the Area）。在该建议中将在勘探期间进行的活动分为了不需要进行环境影响评价的活动以及需要进行环境影响评价的活动两类。其一，勘探期间不需要进行环境影响评价的活动，即根据现有信息，一般认为目前用于勘探的技术不会对海洋环境造成严重损害的活动，如用于环境基线研究的海水、生物、沉积物和岩石采样；其二，勘探期间需要进行环境影响评价的活动，即可能会对海洋环境产生严重损害的活动，如试采（Test-mining）、利用船载钻机进行钻探活动（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.在勘探期间，对产生严重环境损害的活动进行环境影响评价一方面体现了审慎管理风险的理念，另一方面减少了进行环境影响评价的成本，考虑到了社会经济因素，符合经济效益，符合可持续发展理念。

中国支持环境影响评价在《BBNJ 协定》中的应用。中国在国际海洋保护区的实践以及国内法实践都体现了中国赞同通过环境影响评价制度保护海洋环境，防止或减少环境损害发生。从环境影响评价的门槛来讲，虽然在2017 年《关于国家管辖范围以外区域海洋生物多样性养护和可持续利用问题国际文书草案要素的书面意见》中，中国认为环境影响评价的门槛应为“有合理依据认为”“可能造成重大污染或重大和有害变化”，在BBNJ 谈判过程中，中国与其他各方代表对环境影响评价的门槛达成一致，赞同“超过轻微或短暂”的环境影响评价门槛。从决策来看，中国支持由国家主导而不是缔约国大会主导的环境影响评价方式。从监测来看，中国重视用监测的方式保护海洋环境。中国在南极海洋保护区的实践中提出要改善现有的南极研究和监测计划，并提交了相应的提案。环境影响评价是在现有最佳科学证据的基础上，评估计划开展的活动的影响，以防止严重或不可逆的环境损害发生。环境影响评价对实现养护和可持续利用海洋生物多样性的目标具有重要意义。就《BBNJ 协定》的实施而言，中国应倡导风险预防方法在实践中的应用。

六、结论

由于海洋科学和技术仍处于发展阶段，国际社会对于海洋生态的认识和了解还不全面，人类活动对海洋生态环境以及海洋生物多样性的影响具有不确定性，存在环境损害的风险。风险预防方法具有科学不确定性、环境损害风险以及采取措施三个基本内涵。风险预防方法和风险预防原则之间既有联系也有区别。二者都具有避免环境损害风险的作用。相对于风险预防原则，风险预防方法具有法律性质明晰、灵活性以及符合可持续发展理念的特点，因此风险预防方法在指导《BBNJ 协定》各部分实施时可兼顾海洋生物多样性的养护与利用。为实现养护和实现国家管辖范围以外区域海洋生物多样性的当前以及长期养护和可持续利用的目的，《BBNJ 协定》应将一般原则与方法中的“风险预防方法”或“风险预防原则”解释为风险预防方法，这对划区管理工具以及环境影响评价而言更具有实践意义。

就一般原则和方法而言，选择适用风险预防方法既能兼顾环境利益与社会经济利益，也能促进《BBNJ 协定》与其他国际协定的协调统一。风险预防方法在划区管理工具部分的适用，可以根据不同形式的划区管理工具制定具有差异性的风险预防措施，以避免严重或不可逆的环境损害。风险预防方法在环境影响评价部分的适用，能综合考虑拟开展活动的各方面的影响。

在中国视角下，风险预防方法具有实践意义。中国在国内法中也重视风险预防的适用，《深海法》中的有关条款体现了风险预防的理念，其对深海采矿活动的监测要求体现了对环境风险的谨慎管理。中国在海管局以及南极的实践中也体现了对风险预防方法的支持。海管局在矿物资源勘探开发活动的管理中引入了风险预防方法，以预防深海海底采矿可能造成严重的或不可逆的环境损害；为保护海洋环境，海管局在CC 区区域环境管理计划中的特别环境利益区以及新增特别环境利益区中也适用了风险预防方法。在南极罗斯海海洋保护区的提案中，中国认为应将现有最佳科学作为风险预防方法的适用条件，最佳科学可以为风险预防方法的实施提供所需的科学信息。

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