中國視角下風險預防方法在《BBNJ 協定》中的適用

王金鵬 姜文琪

一、問題的提出

國家管轄范圍以外區域（Areas beyond national jurisdiction）海域約占全球海洋面積的三分之二。1Robert Blasiak & Nobuyuki Yagi, Shaping an International Agreement on Marine Biodiversity beyond Areas of National Jurisdiction: Lessons from High Seas Fisheries, Marine Policy, Vol. 71, p. 210 (2016).隨著海洋科學和技術的發展，人類對海洋的開發和利用能力日益增強，漁業、航運、礦產資源開發等人類活動影響了國家管轄范圍以外區域海洋生物多樣性（Marine biological diversity of areas beyond national jurisdiction）。然而，國際社會缺乏有效的管理機制應對海洋生物多樣性的下降。2Fran Humphries & Harriet Harden-Davies, Practical Policy Solutions for the Final Stage of BBNJ Treaty Negotiations, Marine Policy, Vol. 122, p. 1 (2020).為解決這一問題，聯合國大會通過第72/249 號決議，決定召開政府間會議就國家管轄范圍以外區域海洋生物多樣性的養護和可持續利用問題擬定一份具有法律約束力的國際文書。3UNGA, Resolution Adopted by the General Assembly on 9 December 2017, A/RES/72/249,https://documents-dds-ny.un.org/doc/UNDOC/GEN/N17/468/77/PDF/N1746877.pdf?OpenElement.截至目前已經進行了五次政府間會議，討論“一攬子事項”中包含的海洋遺傳資源、包括海洋保護區在內的劃區管理工具、環境影響評價和能力建設與海洋技術轉讓四個關鍵問題。分別于2018 年9 月、2019 年3 至4 月、2019 年8 月、2022 年3 月以及2022 年8 月召開了五次政府間會議。2023年2 月至3 月召開了第五次政府間會議的續會，續會通過了《〈聯合國海洋法公約〉下國家管轄范圍以外區域海洋生物多樣性的養護和可持續利用協定》（The Agreement under the United Nations Convention on the Law of the Sea on the Conservation and Sustainable Use of Marine Biological Diversity of Areas beyond National Jurisdiction，以下簡稱“《BBNJ 協定》”）草案。4UN, UN Delegates Reach Historic Agreement on Protecting Marine Biodiversity in International Waters, UN News (5 March 2023), https://news.un.org/en/story/2023/03/1134157.2023 年6 月19 日政府間會議正式通過了該協定。5《聯合國通過保護海洋生物多樣性的歷史性協定》，載聯合國網站2023 年6 月19 日，https://news.un.org/zh/story/2023/06/1118977?！禕BNJ 協定》將于2023 年9 月20 日起開始簽署。

為了實現養護和可持續利用國家管轄范圍以外區域海洋生物多樣性的目標，《BBNJ 協定》中第一部分“原則與方法”、第三部分“劃區管理工具”以及第四部分“環境影響評價”都涉及到風險預防方法的適用。風險預防方法是國際環境法中的概念，對海洋環境保護和資源保護具有重要意義。例如，國際海底管理局（以下簡稱“海管局”）為規范開發行為，保護海洋環境免受開發活動產生的有害影響，將風險預防方法納入到《“區域”內礦物資源開發規章草案》。6《“區域”內礦物資源開發規章草案》第2 條。該規章草案第2（e）條第二項、第44（a）條都提到了適用風險預防方法。此外，國際海洋法法庭海底爭端分庭在“關于擔保個人和實體從事‘區域’內活動的國家所負責任和義務的咨詢意見”中指出，擔保國和海管局都有義務采用風險預防方法。7ITLOS, Responsibilities and Obligations of States Sponsoring Persons, and Entities with Respect to Activities in the Area, Advisory Opinion of 1 February 2011, para. 131.由于國家管轄范圍以外區域海洋生態環境動態復雜8同前注2, Fran Humphries & Harriet Harden-Davies, p. 3.，國際社會對國家管轄范圍以外區域海洋生物多樣性及生態系統的認識并不充分，9Elizabeth M. De Santo, et al., Protecting Biodiversity in Areas beyond National Jurisdiction:An Earth System Governance Perspective, Earth System Governance, Vol. 2, p. 2 (2019).人類活動對國家管轄范圍以外區域海洋環境以及生物多樣性的影響具有不確定性。有必要采納風險預防方法以避免或減少人類活動對海洋生態環境產生的影響。

《BBNJ 協定》政府間會議期間多次討論了風險預防方法在《BBNJ 協定》中的適用，談判各方的分歧集中在《BBNJ 協定》應適用風險預防方法（Precautionary Approach）還是風險預防原則（Precautionary Principle）。2023 年第五次政府間會議續會期間各方著重討論了劃區管理工具中緊急措施是否適用風險預防的問題。最終通過的《BBNJ 協定》采用了折中方案，即在“一般原則和方法”部分同時規定了風險預防方法和風險預防原則，以實現最大范圍的認可?！禕BNJ 協定》中劃區管理工具部分使用了風險預防方法的措辭，環境影響評價部分的具體條款體現了風險預防方法的適用。

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

中國在《BBNJ 協定》談判中支持適用風險預防方法。例如，第三次政府間會議期間，中國支持適用風險預防方法。14IISD, Summary Report of 19-30 August 2019, 3rd Session of the Intergovernmental Conference (IGC) on the Conservation and Sustainable Use of Marine Biodiversity of Areas Beyond National Jurisdiction, Earth Negotiations Bulletin (2 September 2019),https://enb.iisd.org/events/3rd-session-intergovernmental-conference-igc-conservation-andsustainable-use-marine/summary.近年來，中國的海洋科學和技術能力不斷提升，在國家管轄范圍以外區域的航運、漁業和科研活動日益增多。15Menon Economics, The Leading Maritime Nations of the World 2018, Menon Economics(5 September 2018), https://www.menon.no/the-leading-maritime-nations-of-the-world-2018/?lang=en.中國參與《BBNJ 協定》實施具有重要意義。因此，本文從中國視角分析了風險預防方法在《BBNJ 協定》中的適用問題。本文將結合風險預防方法的內涵及風險預防方法與原則之間的區別，討論其在《BBNJ 協定》中適用的必要性，繼而具體分析《BBNJ 協定》中體現風險預防方法的具體條款及其實施。

二、風險預防方法的內涵及在其在《BBNJ 協定》中適用的必要性

《BBNJ 協定》是就國家管轄范圍以外區域海洋生物多樣性的養護和可持續利用問題擬定的一份具有約束力的國際文書。其主要目的在于確保國家管轄范圍以外區域海洋生物多樣性的當前以及長期養護和可持續利用。國際社會對國家管轄以外區域生態環境的認識有限。人類活動對國家管轄范圍以外區域生態的影響具有不確定性。風險預防方法體現了謹慎管理環境損害風險的理念，對管理國家管轄范圍以外區域環境損害風險具有重要意義。本部分梳理風險預防方法的內涵，區分風險預防方法與風險預防原則，并討論風險預防方法在《BBNJ 協定》中適用的必要性問題。

（一）風險預防方法與風險預防原則

風險預防方法作為國際環境法的一項基本原則，可以追溯到20 世紀70 年代的德國環境法中“Vorsorgeprinzip”概念。16Aline L. Jaeckel, The International Seabed Authority and the Precautionary Principle:Balancing Deep Seabed Mineral Mining and Marine Environmental Protection, Brill Nijhoff, 2017, p. 30; David Kriebel, et al., The Precautionary Principle in Environmental Science, Environmental Health Perspectives, Vol. 109:9, p. 871 (2001).其早期的核心理念是國家應該通過謹慎的前瞻性規劃來避免環境破壞。17Timothy O’Riordan & Andrew Jordan, The Precautionary Principle in Contemporary Environmental Politics, Environmental Values, Vol. 4:3, p. 193 (1995).1992 年《里約環境與發展宣言》（Rio Declaration on Environment and Development，以下簡稱“《里約宣言》”）采用了風險預防方法。該宣言原則15 指出，為了進行環境保護，各國應當依照本國的實際能力普遍地采用風險預防方法，在存在嚴重或不可逆轉的損害威脅的情況下，不得以缺乏充分的科學確定性為由推遲采取符合成本效益的措施防止環境退化。18UNGA, Rio Declaration on Environment and Development, in Report of the United Nations Conference on Environment and Development, A/CONF.151/26 (Vol. I), 12 August 1992,Principle 15.據此，可知風險預防方法包含三個基本內涵：一是存在環境損害風險，風險需要達到一定的閾值；二是科學不確定性，不能因具有科學不確定性而拒絕采取措施保護環境；三是采取措施，即采取措施以預防環境損害發生。

實踐中，圍繞風險預防存在原則還是方法的爭議。首先，相對于風險預防原則，風險預防方法被認為更具有靈活性。在國際海洋法法庭的“南方藍鰭金槍魚案”中，萊恩法官（Edward A. Laing）在其獨立意見中指出，風險預防方法適當引入了靈活性。19ITLOS, Southern Bluefin Tuna Cases (New Zealand v. Japan; Australia v. Japan),Provisional Measures, Order of 27 August 1999, Separate Opinion of Judge Laing, para. 19.其次，國際社會對于風險預防原則是否具有習慣國際法的性質存在疑問。在歐洲共同體（European Community，以下簡稱“歐共體”）轉基因農產品案中，歐共體認為風險預防原則具有習慣國際法的性質。而美國認為風險預防原則不具有習慣國際法的地位。20WTO, Reports of the Panel on European Communities - Measures Affecting the Approval and Marketing of Biotech Products, WT/DS291/R, WT/DS292/R, WT/DS293/R, 29 September 2006, para. 7.80-7.82.第三，風險預防方法被認為更符合可持續發展理念?？沙掷m發展理念體現為在環境利益與經濟社會利益之間進行平衡。換言之，保護環境利益的同時不能犧牲經濟社會利益。風險預防原則通常規定禁止性的措施，如為保護漁業資源對大規模遠洋流網捕撈完全禁止，會導致漁業停止。21John M. MacDonald, Appreciating the Precautionary Principle as an Ethical Evolution in Ocean Management, Ocean Development and International law, Vol. 26:3, p. 272-274(1995).風險預防方法具有靈活適用的特點，在實施過程中能夠兼顧環境利益與經濟社會利益，能夠更好的實現可持續發展。

學術界也討論了風險預防方法和風險預防原則之間的區別。一些學者認為，風險預防方法和風險預防原則的差異并不明顯。然而，全球協議更多采用風險預防方法而不是風險預防原則22Patricia Birnie, Alan Boyle & Catherine Redgwell, International Law and the Environment(Third Edition), Oxford University Press, 2009, p. 155-160.。例如，《執行1982 年12 月10 日〈聯合國海洋法公約〉有關養護和管理跨界魚類種群和高度洄游魚類種群的規定的協定》（以下簡稱“《聯合國魚類種群協定》”）第六條指出，各國應采取風險預防方法，養護、管理和開發跨界魚類種群和高度洄游魚類種群，以保護海洋生物資源和維護海洋環境。23《執行1982 年12 月10 日〈聯合國海洋法公約〉有關養護和管理跨界魚類種群和高度洄游魚類種群的規定的協定》第6 條。

（二）風險預防方法在《BBNJ 協定》中適用的必要性

風險預防對保護海洋環境、養護海洋生物多樣性具有重要意義。自《BBNJ協定》談判伊始，各方既已認識到適用風險預防保護海洋環境和養護海洋生物多樣性的重要性。2006 年BBNJ 不限成員名額非正式特設工作組會議既已指出捕撈、垃圾傾倒等人類活動對國家管轄范圍以外區域海洋生物多樣性造成了巨大威脅，并且認為風險預防方法和生態系統方法是應對這種威脅的根本性原則。24UNGA, Report of the Ad Hoc Open-ended Informal Working Group to study issues relating to the conservation and sustainable use of marine biological diversity beyond areas of national jurisdiction, A/61/65, 20 March 2006, para. 33.

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

其二，人類活動對國家管轄范圍以外區域海洋生物多樣性的影響具有科學不確定性。雖然，海洋科學和技術的發展加深了人類對于海洋的認識和了解，但海洋科學研究仍處于發展階段，對海洋環境以及人類活動對海洋環境影響的認識仍然有限。29Robin Warner, Environmental Assessment in Marine Areas beyond National Jurisdiction:Practice and Prospects, the American Society of International Law, Vol. 111, p. 252 (2017).對有關海洋生物多樣性分布以及這些生態系統對人類活動的脆弱性等關鍵信息認識不足。30同前注9，Elizabeth M. De Santo 等。因此，國際社會對人類活動對海洋生態環境的具體影響、活動與損害之間的關系以及如何消除活動的影響的認識具有科學不確定性。

在談判期間，各方對《BBNJ 協定》文本將風險預防規定為“風險預防原則”還是“風險預防方法”存在分歧?！禕BNJ 協定》第三次政府間會議期間，有代表提出在一般原則和方法部分加入風險預防原則/方法。31IISD, Daily Report for 28 August 2019, 3rd Session of the Intergovernmental Conference(IGC) on the Conservation and Sustainable Use of Marine Biodiversity of Areas Beyond National Jurisdiction, Earth Negotiations Bulletin (29 August 2019), https://enb.iisd.org/events/3rd-session-intergovernmental-conference-igc-conservation-and-sustainable-usemarine/daily-0.隨后第四次政府間會議期間的案文草案第5 條“一般原則與方法”中（e）項擬定為風險預防方法或風險預防原則（precautionary approach/principle）。但這一表述引起的各方的爭議，各方對應當適用風險預防方法還是風險預防原則存在分歧。以歐盟為代表的國家支持適用風險預防原則，而美國、日本、韓國等國家認為《BBNJ 協定》中應適用風險預防方法。為避免分歧，第五次政府間會議將案文草案修改為實施風險預防（the application of precaution）。這種折中方案僅得到少部分代表的認可，并沒有解決風險預防原則還是風險預防方法的爭議。32IISD, Daily Report for 24 August 2022, 5th Session of the Intergovernmental Conference(IGC) on the BBNJ, Earth Negotiations Bulletin (25 August 2022), https://enb.iisd.org/marine-biodiversity-beyond-national-jurisdiction-bbnj-igc5-daily-report-24aug2022.最終各方達成妥協，將《BBNJ協定》第7 條“一般原則和方法”第5 項規定為，“在適當情況下，風險預防原則或風險預防方法”（The precautionary principle or precautionary approach, as appropriate）。33《〈聯合國海洋法公約〉下國家管轄范圍以外區域海洋生物多樣性的養護和可持續利用協定》第7 條。分歧背后的原因是雖然風險預防方法和原則都具有預防不確定的環境損害風險的作用，但實施過程中在靈活性等方面存在差異。各方雖認同《BBNJ協定》采用的妥協方式，但在后續《BBNJ 協定》的實施中，因各國對風險預防原則和風險預防方法理解的差異以及各國立場的區別，適用“風險預防原則”還是“風險預防方法”的分歧仍然存在。

《BBNJ 協定》規定在擬定劃區管理工具提案、實施緊急措施以及調整劃區管理工具的養護措施時要適用風險預防方法。在談判中，各國對風險預防在劃區管理工具部分的適用也存在風險預防方法還是風險預防原則的分歧。結合劃區管理工具的目的以及風險預防方法與風險預防原則之間的差異，風險預防方法更有益于實現養護和可持續利用養護生物多樣性的目標。這一目的同時包含養護與利用兩個方面。全球范圍內存在多種形式的劃區管理工具，如海洋保護區、特殊區域和敏感海域、區域環境管理計劃、特別環境利益區、季節性或全年休漁區以及脆弱海洋生態系統等。34Elizabeth M. De Santo, Implementation Challenges of Area-based Management Tools(ABMTs) for Biodiversity beyond National Jurisdiction (BBNJ), Marine Policy, Vol. 97, p.39 (2018).各種類型的劃區管理工具養護目的不同，風險預防方法具有靈活性，意味著其在實施時具有一定的彈性，能夠結合不同類型劃區管理工具的特點及需保護區域的特定生態環境，采取具有差異性的風險預防措施，預防環境損害風險。同時，風險預防方法在實施過程中能兼顧環境利益與經濟社會利益，能實現對海洋生物多樣性的養護與利用。

《BBNJ 協定》對環境影響評價的門檻、決策、監測授權活動的影響的規定也體現了風險預防方法。環境影響評價過程可以揭示一項活動對生態系統多個組成部分的潛在影響范圍以及減輕預測影響的可能方法。35Kristina M. Gjerde, Glen Wright & Carole Durussel, Strengthening High Seas Governance through Enhanced Environmental Assessment Processes: A Case Study of Mesopelagic Fisheries and Options for A Future BBNJ Treaty, Strong High Seas Project, 2021, https://publications.iass-potsdam.de/rest/items/item_6000701_3/component/file_6000702/content,p. 18.環境影響評價作為評估擬開展活動存在的環境損害風險的一種方式，其本身體現了謹慎管理風險的理念，是管理環境損害風險的一種方法。風險預防方法具有靈活性，更能在環境影響評價過程中識別各種活動之間損害程度的差異。例如，海洋科學研究行為會對海洋環境產生損害。海洋科學研究有時會將聲音引入海洋環境，會對海洋生物產生不利影響。36Harm M. Dotinga & Alex G. Oude Elferink, Acoustic Pollution in the Oceans: The Search for Legal Standards, Ocean Development and International Law, Vol. 31:1-2, p. 151-182(2000).但并非所有的聲音都會對海洋生物產生不利影響，同一種聲音的強度對海洋生物影響的程度不同，風險預防方法可以根據其損害程度不同制定不同的風險預防措施。而適用風險預防原則可能會導致此類科學研究行為的完全禁止。海洋科學研究能夠為海洋生物多樣性的保護提供所需要的信息和數據，在進行環境影響評價時需要區分損害達到的程度制定預防措施，不能完全禁止。

因此，雖然《BBNJ 協定》第7 條規避了“風險預防方法”還是“風險預防原則”的分歧，但實踐中仍面臨著適用“風險預防方法”還是“風險預防原則”的爭議。風險預防方法適用于《BBNJ 協定》有其必要性。風險預防方法能避免不確定環境損害風險造成的嚴重的或不可逆的環境損害，對保護海洋環境和養護海洋生物多樣性具有重要作用。風險預防方法具有靈活性，能兼顧環境利益與社會經濟利益，在劃區管理工具中適用風險預防方法有助于實現養護和可持續利用生物多樣性的目標。環境影響評價可以看作一種預防風險的方式，體現了謹慎管理風險的理念。

三、一般原則與方法中的風險預防方法與中國參與

在BBNJ 第一次會議中，國際社會已認識到，各項原則可為全球共識提供基礎，以養護和可持續利用海洋生物多樣性。37同前注24, UNGA, para. 23, 33.《BBNJ 協定》第7 條規定締約方應當在適當情況下，遵循風險預防原則或風險預防方法。38《〈聯合國海洋法公約〉下國家管轄范圍以外區域海洋生物多樣性的養護和可持續利用協定》第7 條。該規定采取了一種具有選擇性的適用方法，這是一種妥協的方案，并沒有從根本上解決各方之間關于“風險預防方法”與“風險預防原則”的分歧。

在談判中，中國傾向于《BBNJ 協定》適用“風險預防方法”。中國在海管局的實踐也支持對風險預防方法的適用。海管局先后制定的三個勘探規章中均體現了風險預防方法。39《“區域”內多金屬結核探礦和勘探規章》第2（2）條；《“區域”內多金屬硫化物探礦和勘探規章》第2（2）條；《“區域”內富鈷鐵錳結殼探礦和勘探規章》第2（2）條。海管局草擬的《“區域”內礦物資源開發規章草案》第44 條指出海管局、擔保國和承包者應采用風險預防方法，評估和管理“區域”內開發活動損害海洋環境的風險。40《“區域”內礦物資源開發規章草案》第44 條。結合風險預防原則和風險預防方法之間的區別，中國支持適用風險預防方法主要有以下原因。

第一，風險預防方法具有靈活性，其在實施過程中往往表現為“軟”方法，41同前注21，John M. MacDonald。能靈活應對人類活動產生的環境損害風險。海洋科學研究活動也存在環境損害風險。有些海洋科學研究需要在海洋中使用研究設備或搭建科學研究平臺，有的需要在海洋中使用鉆探技術進行取樣，這些行為可能會影響海洋物種或生境，破壞海洋生態系統的結構特征。42Anna-Maria Hubert, The New Paradox in Marine Scientific Research: Regulating the Potential Environmental Impacts of Conducting Ocean Science, Ocean Development and International Law, Vol. 42:4, p. 331 (2011).風險預防方法可以根據海洋科學研究活動對海洋環境的損害程度，靈活適用風險預防措施。而風險預防原則往往是“硬”性的禁止性保護規則。43同前注21，John M. MacDonald。這意味著，一些對海洋環境的損害程度低于“嚴重的或不可逆的損害風險”的海洋科學研究活動會被禁止，這會影響國際社會在國家管轄范圍以外區域進行海洋科學研究的自由。

第二，風險預防方法法律性質明晰，能更好的發揮預防環境損害風險的作用。實踐中，國際社會對于風險預防原則是否具有習慣國際法的性質存疑。歐盟一貫主張風險預防方法具有習慣國際法的性質，相反美國認為風險預防原則不具有習慣國際法的性質。44同前注20。習慣國際法具有兩個構成要件：一般慣例與法律確信。在實踐中，現有國際文書中，有的適用風險預防方法，如《里約宣言》；有的適用風險預防原則，如《保護東北大西洋海洋環境公約》（Convention for the Protection of the Marine Environment of the North-East Atlantic）第2 條規定締約方應適用風險預防原則。45《保護東北大西洋海洋環境公約》第2 條?？梢?，未形成一致的實踐，不構成一般慣例。由于國際社會對風險預防原則的法律性質存在爭議，顯然并未形成法律確信。因此，風險預防原則不構成習慣國際法。風險預防方法的法律性質明晰，其作為具體的保護措施，能更好應對不確定的環境損害風險。

第三，風險預防方法能夠兼顧環境利益與社會經濟利益，有利于《BBNJ 協定》目標的實現?！禕BNJ 協定》的一般目標是確保國家管轄范圍以外區域海洋生物多樣性的當前及長期的養護和可持續利用。46《〈聯合國海洋法公約〉下國家管轄范圍以外區域海洋生物多樣性的養護和可持續利用協定》第2 條。這一目標包含養護海洋生物多樣性和可持續利用海洋生物多樣性兩個方面。風險預防方法作為一種“軟”方法，適用具有彈性，能兼顧環境利益與社會經濟利益。因此，風險預防方法可以在預防環境損害的同時，不完全禁止利用海洋，可以實現《BBNJ 協定》目標的兩個方面。而風險預防原則通常表現為禁止性規定，能夠預防環境損害風險，但會影響對海洋的利用，不利于《BBNJ 協定》目標的實現。

綜上，雖然《BBNJ 協定》采用了選擇適用“風險預防方法”或“風險預防原則”的方式，規避了談判中關于采用“風險預防原則”還是“風險預防方法”的分歧，但各國基于自身立場和對條文理解的差異，適用“風險預防方法”還是“風險預防原則”的矛盾并沒有被實質解決。風險預防方法具有靈活性、法律性質明晰，兼顧環境利益與社會經濟利益等特點，有益于實現《BBNJ 協定》的目標。因此，在實踐中應選擇適用“風險預防方法”而非“風險預防原則”。一般原則和方法對《BBNJ協定》其他部分條款的解釋和適用具有普遍的指導意義。選擇適用“風險預防原則”還是“風險預防方法”，會影響《BBNJ 協定》劃區管理工具部分以及環境影響評價中條款的適用。

四、劃區管理工具中的風險預防方法與中國參與

包括海洋保護區在內的劃區管理工具是2011 年商定的《BBNJ 協定》談判的四個關鍵議題之一。劃區管理工具是保護海洋生物多樣性的關鍵工具，目的在于通過對不同區域采取不同的養護措施，保護和恢復生物多樣性和生態系統?！禕BNJ協定》中劃區管理工具部分涉及風險預防方法的條款有第19 條第3 款、第24 條以及第26 條。

（一）劃區管理工具的提案

《BBNJ 協定》第19 條第3 款指出擬定提案時應立足最佳可得科學（the best available science）和科學信息以及在可獲得的情況下，土著人民和當地社區的相關傳統知識，同時考慮到風險預防方法和生態系統辦法。47《〈聯合國海洋法公約〉下國家管轄范圍以外區域海洋生物多樣性的養護和可持續利用協定》第19 條。在談判中，各方對提案中適用風險預防方法還是風險預防原則存在分歧。48同前注14，IISD。中國支持風險預防方法在劃區管理工具條款中的適用。49IISD, Summary Report of 25 March — 5 April 2019, 2nd Session of the Intergovernmental Conference on an International Legally Binding Instrument under the UN Convention on the Law of the Sea on the Conservation and Sustainable Use of Marine Biodiversity of Areas Beyond National Jurisdiction, Earth Negotiations Bulletin (8 April 2019), https://enb.iisd.org/events/2nd-session-intergovernmental-conference-igc-conservation-andsustainable-use-marine/summary.

在擬定提案時適用風險預防方法有助于實現劃區管理工具的目標，即通過建立包括具有生態代表性和良好連通性的海洋保護區網絡在內的劃區管理工具綜合系統，養護和可持續利用需要保護的區域。50《〈聯合國海洋法公約〉下國家管轄范圍以外區域海洋生物多樣性的養護和可持續利用協定》第17 條。根據《BBNJ 協定》，在擬定提案時，應制定劃區管理工具的管理計劃草案。管理計劃草案具體包括：擬議措施以及為實現具體目標將開展的監測、研究和審查活動的概述。此處的管理計劃應根據需保護區域的生物多樣性狀況、海洋環境以及養護目標等因素制定。以國家管轄范圍以外區域海洋保護區為例。國家管轄范圍以外區域海洋保護區是通過在公海和國際海底區域的特定海域采取對特定人類活動的限制，以達到長期保護海洋生態環境和養護生物資源的目的。51王金鵬：《國家管轄范圍外海洋保護區治理的國際合作與協調》，載《武大國際法評論》2022 年第6 期，第66 頁。如果在設立海洋保護區的提案中適用風險預防原則，其作為一個具有禁止性的規定，可能會導致該區域被封閉，不僅會限制人類的特定活動，甚至會禁止此類活動。這與《聯合國海洋法公約》（United Nations Convention on the Law of the Sea）所倡導的公海自由原則相沖突。而具有靈活性的風險預防方法，在適用時可以根據人類活動對海洋環境的損害程度，對特定行為進行限制，兼顧對特定區域的保護與利用。因此，在劃區管理工具提案中適用風險預防方法能夠兼顧海洋生物多樣性的養護與可持續利用。

中國在海管局的實踐表明中國支持在國際海底治理中適用風險預防方法管理和預防海洋環境損害風險。2011 年，為保護克拉里昂-克利珀頓區（Clarion-Clipperton Zone，以下簡稱“CC 區”）生物多樣性結構和生態功能不受人類活動的潛在影響，海管局法律和技術委員會提出了區域環境管理計劃，計劃中包含由9個特別環境利益區（Areas of particular environmental interest）構成的網絡，要求實施風險預防方法。中國對這一計劃表示支持并認為區域環境管理計劃對環境管理具有重要作用，并且支持制定區域環境管理計劃指南。此外，中國在南極海洋保護區的實踐中認為適用風險預防方法需要基于一定的科學證據。在2014 年圍繞南極羅斯海海洋保護區進行談判時，中國提出了建立海洋保護區適用風險預防方法的前提條件，即風險預防方法的適用必須基于科學證據。52CCAMLR, Report of the Thirty-Third Meeting of the Commission, CCAMLR website(November 2014), https://www.ccamlr.org/en/system/files/e-cc-xxxiii.pdf, para. 7, 69.

綜上，風險預防方法的靈活性能夠結合具體的劃區管理工具的類型，區別采用風險預防措施，在減少制定的養護措施對海洋生態環境造成的損害的同時兼顧社會經濟效益，符合可持續發展的理念。而風險預防原則作為“硬性”的規定，可以導致特定區域的封閉，影響各國對海洋的利用。在實踐中，中國支持基于科學證據適用風險預防方法。

（二）作為緊急措施的劃區管理工具

《BBNJ 協定》第24 條第3 款規定，在緊急情況下采取的措施應基于最佳可得科學和科學信息，以及在可獲得的情況下，土著人民和當地社區的相關傳統知識，并考慮風險預防方法。此類措施可由締約方提議或由科學和技術機構建議，并可在閉會期間通過。這些措施應是臨時性的，必須在通過后由締約方大會下一次會議重新審議以作出決定。53《〈聯合國海洋法公約〉下國家管轄范圍以外區域海洋生物多樣性的養護和可持續利用協定》第24 條。緊急措施是應對突發事件的臨時性措施，被用來應對水下火山噴發、海底滑坡等突發事件。54IISD, Daily Report for 19 August 2022, Earth Negotiations Bulletin (22 August 2022),https://enb.iisd.org/sites/default/files/2022-08/enb25235e.pdf.

緊急措施是否適用于《BBNJ 協定》在第五次政府間會議開始被著重討論。55同前注32, IISD。第五次政府間會議續會期間，各方總體上贊同在劃區管理工具部分設置緊急措施條款，并重點討論了風險預防方法在緊急措施中的適用56IISD, Daily Report for 28 February 2023, Resumed 5th Session of the Intergovernmental Conference (IGC) on BBNJ, Earth Negotiations Bulletin (1 March 2023), https://enb.iisd.org/marine-biodiversity-beyond-national-jurisdiction-bbnj-igc5-resumed-daily-report-28feb2023.以及緊急措施的閾值等。57同前注32, IISD。緊急措施適用的閾值是“造成嚴重或不可挽回的損害”，即某一自然現象或人為災害已經或可能對國家管轄范圍以外區域海洋生物多樣性造成嚴重或不可挽回的損害。在適用緊急措施時要基于現有最佳科學和科學信息，最佳科學證據能為緊急措施的制定提供可用的信息和數據，以達到緊急措施預防和減少損害的目的。

風險預防方法能避免臨時性的緊急措施對海洋環境造成嚴重或不可逆的損害。緊急措施往往是為應對緊急情況設立的，以預防或減少自然現象或人為災害對海洋環境造成的突然影響。因此，緊急措施實施時可能產生具有不確定性的環境損害風險。風險預防方法能夠謹慎管理風險，靈活應對緊急措施可能導致的環境損害。在實踐中，也存在緊急措施應用的情況。例如海管局制定的《“區域”內礦物資源開發規章草案》（Draft Regulations on Exploitation of Mineral Resources in the Area）第28 條規定了商業采礦過程中所實施的緊急措施，指出深海海底商業采礦過程中，在海洋環境可能受到損害或嚴重損害威脅的情況下，需要減少或停止生產時，承包者應暫時減少或暫停生產。58《“區域”內礦物資源開發規章草案》第28（3）條?？梢?，在商業采礦過程中如果海洋環境受到損害或嚴重損害威脅，需要及時減少或暫停，以保護海洋環境。

（三）劃區管理工具養護措施的調整

《BBNJ 協定》第26 條監測和審查的第5 款指出調整劃區管理工具的養護措施時應適用風險預防方法。具體而言，修訂、延長或撤銷養護措施時，應考慮到風險預防方法和生態系統辦法。調整養護措施的原因是現有養護措施已不適宜需要保護的區域，為實現養護和可持續利用的目標，需要結合特定區域的恢復狀況以及氣候變化、海洋酸化等自然條件的變化及時調整養護措施。為實現劃區管理工具的養護目標，需要根據監測和定期審查的結果，及時調整養護措施。簡言之，調整養護措施即保持某一區域養護措施的有效性。保持養護措施的有效性，需要根據不同區域的海洋生態特征進行調整。

風險預防方法具有靈活性，在調整養護措施時適用風險預防方法，其可以根據養護措施調整的具體方案，及時調整風險預防措施。另一方面，風險預防方法兼顧環境利益和社會經濟利益，更符合可持續發展理念，調整養護措施時適用風險預防方法，可以考慮到各國科學技術能力、經濟以及社會條件，采取符合成本效益的方式，避免增加成本。由于物種分布隨年度周期而變化，年度內和永久性封閉通常針對平均條件，而季節性封閉則針對最受關注的時間段。59Guillermo Ortuno Crespo, et al., Beyond Static Spatial Management: Scientific and Legal Considerations for Dynamic Management in the High Seas, Marine Policy, Vol. 122, p. 5(2020).風險預防方法可以結合該保護區的周期變化調整風險預防措施，避免該區域的過度封閉。

中國在海管局的實踐體現了支持適用風險預防方法。海管局制定了CC 區的區域環境管理計劃，旨在保護整個地區的生物多樣和生態系統結構和功能。60ISA, Environmental management plan for the Clarion-Clipperton Zone, ISA website (15 March 2023), https://www.isa.org.jm/protection-of-the-marine-environment/regionalenvironmental-management-plans/ccz/.深海采礦計劃往往在生態和敏感性不為人知的地方展開，這導致在估計影響和建立管理活動方面存在很大的不確定性，風險預防方法是應對這種不確定性的關鍵工具。61Daniel O. B. Jones, et al., Existing Environmental Management Approaches Relevant to Deep-Sea Mining, Marine Policy, Vol. 103, p. 172-181 (2019).CC 區的區域環境管理計劃（Regional Environmental Management Plan）開始涵蓋9 個特別環境利益區。2021 年為增強特別環境利益區網絡，海管局計劃新增四個特別環境利益區。中國贊同新增特別環境利益區，并支持適用風險預防方法。這體現了中國支持在調整養護措施時適用風險預防方法。此外，中國在南極海洋保護區的實踐也體現了重視風險預防方法的態度。2018 年中國提出了關于改進羅斯海海洋保護區研究和監測計劃草案的提案，中國認為研究和監測計劃對海洋保護區開發和發展至關重要，需要調整在海洋保護區的監測方案。62Delegation of the People’s Republic of China, Proposal to improve the Draft Research and Monitoring Plan for the Ross Sea region Marine Protected Area, CCAMLR (October 2019), https://meetings.ccamlr.org/en/sc-camlr-38/21.監測可以為適用風險預防方法或對擬在南極開展的活動進行環境影響評價提供科學證據。這一關于調整養護措施的提案表明中國在實踐中謹慎管理環境損害風險，重視風險預防方法在調整養護措施中的應用。

（四）小結

劃區管理工具部分適用風險預防方法具有重要意義。劃區管理工具包括多種管理形式，在實踐中建立劃區管理工具需要立足現有最佳科學，評估需要保護區域的生態系統、棲息地和種群等潛在風險和威脅，衡量不同海域生態的獨特性、敏感性、脆弱性等各方面的因素，選擇最佳的形式保護和恢復需要保護區域的生態狀況。在擬定提案、制定或調整養護措施時適用風險預防方法，能夠綜合目前海洋科學和技術的發展水平，社會經濟條件等各方面的因素，應對海洋酸化、氣候變化、科研和資源的勘探開發活動對海洋環境和生物種群的不確定性損害風險。在《BBNJ 協定》的實施中，因風險預防方法具有靈活性，能根據需要保護區域的生態特征、恢復狀況等因素，及時應對調整養護措施帶來的不確定性風險。由于海洋環境具有動態特征，某一區域中的生物資源并非平均分布，其會根據季節變化、洋流、食物等因素在海洋中移動，或因氣候變化向高緯度洄游。63同前注59，Guillermo Ortuno Crespo, et al., p. 1-10。風險預防方法會根據監測的具體數據，調整特定區域的封閉或開放，而并非僵化的完全封閉，平衡對海洋生物多樣性的養護與利用。

五、環境影響評價中的風險預防方法與中國參與

環境影響評價（Environmental impact assessment）是被國際社會廣泛接受的一項基本義務。64Alex G. Oude Elferink, Environmental Impact Assessment in Areas beyond National Jurisdiction, The International Journal of Marine and Coastal Law, Vol. 27:2, p. 449 (2012).《聯合國海洋法公約》第204 條、第 205 條和第 206 條分別涉及“對污染危險或影響的監測”“報告的發表”“對各種活動可能的影響進行評價”。國際法院在“烏拉圭河紙漿廠”案（阿根廷訴烏拉圭）的判決中確認了環境影響評價是習慣國際法規定的一般義務。65ICJ, Case concerning Pulp Mills on the River Uruguay (Argentina v. Uruguay), Judgement of 2010, para. 204.《生物多樣性公約》（Convention on Biological Diversity）第14 條將環境影響評價與避免或減少環境損害聯系起來。66《生物多樣性公約》第14 條。為了實現養護和可持續利用海洋生物多樣性的目標，《BBNJ 協定》將環境影響評價作為核心部分之一?！禕BNJ 協定》中環境影響評價部分涉及風險預防方法的條款主要有第30 條門檻和因素、第34 條決策、第35 條監測授權活動的影響、第38條科學和技術機構應制定的與環境影響評價有關標準和準則等。以下討論環境影響評價的門檻、決策以及監測授權活動的影響三個體現風險預防方法的具體條款。

（一）環境影響評價的門檻

《BBNJ 協定》第30 條規定了進行環境影響評價的門檻和因素。該條指出，如果計劃活動對海洋環境產生的影響可能超出輕微或短暫的程度，或者活動的影響未知或知之甚少，管轄或控制該活動的締約方應對該活動進行篩選?！禕BNJ 協定》采用了分層的方式規定環境影響評價的門檻。67IISD, Daily Report for 2 March 2023, Resumed 5th Session of the Intergovernmental Conference (IGC) on BBNJ, Earth Negotiations Bulletin (3 March 2023), https://enb.iisd.org/marine-biodiversity-beyond-national-jurisdiction-bbnj-igc5-resumed-daily-report-2mar2023.“超過輕微或短暫”的活動需要進行篩選，篩選是環境影響評價程序的第一步，其主要作用是通過篩選確定計劃的活動是否需要進行環境影響評價。篩選時應立足現有最佳科學和科學信息，充分考量各方面的因素，評估計劃的活動是否可能對海洋環境造成重大污染或重大有害變化?？赡茉斐芍卮笪廴净蛑卮笥泻ψ兓幕顒討M行環境影響評價。

這一規定體現了對環境損害風險的謹慎管理，以防止計劃的活動對海洋環境造成嚴重或不可逆的損害。該條規定對“活動效應未知或知之甚少”的活動進行篩選，體現了對具有不確定性影響的活動的謹慎管理，符合風險預防內涵包括的科學不確定性、環境損害風險以及采取措施三個基本內涵。此外，《BBNJ 協定》將環境影響評價的門檻設置為分層的形式，一定程度上體現了靈活性以及符合成本效益的理念?！禕BNJ 協定》在一般原則和方法部分規定了選擇適用風險預防方法或風險預防原則，結合環境影響評價規定的門檻來講，適用風險預防方法對環境影響評價的過程具有現實意義。

在實踐中，對擬開展的活動進行環境影響評估首先需要判斷是否達到開展環境影響評估的門檻。如果擬開展活動對海洋環境造成了可能”超出輕微或短暫“的影響，需按《BBNJ 協定》規定的要素進行篩選。例如，篩選擬開展活動類型和使用的技術以及開展方式、活動持續時間、活動地點、活動可能影響等。根據篩選的結果判斷活動是否可能對海洋環境造成重大污染或重大和有害變化。例如，擬開展碳封存活動，根據《BBNJ 協定》需要對其進行環境影響評估。二氧化碳捕獲與封存（Carbon capture and storage, CCS）技術是通過除去大氣中的二氧化碳，應對全球變暖的關鍵技術。68Douglas P. Connelly, et al., Assuring the Integrity of Offshore Carbon Dioxide Storage,Renewable and Sustainable Energy Reviews, Vol. 166, p. 1-9 (2022).二氧化的釋放可能會影響釋放地點以及附近的底棲生物群和海洋生態環境，主要受海底沉積物性質的影響，泥沙受影響較大。69Anita Flohr, et al., Towards Improved Monitoring of Offshore Carbon Storage: A Realworld Field Experiment Detecting a Controlled Sub-seafloor CO2 Release, International Journal of Greenhouse Gas Control, Vol. 106, p. 1-20 (2021).對其開展環境評價，需要綜合考慮建立海上平臺設施建立的地點、海底沉積物的性質、二氧化碳釋放對海洋環境的影響等因素。風險預防方法的靈活性能綜合考慮碳封存活動存在的環境損害風險與其帶來的社會效益。

《BBNJ 協定》規定的環境影響評價門檻與《關于環境保護的南極條約議定書》（The Protocol on Environmental Protection to the Antarctic Treaty，以下簡稱“《馬德里議定書》”）相似?！恶R德里議定書》設置了分層的環境影響評價方式，并在附件一中制定了具體的評估程序：第一，初始階段。如果在評估的初始階段確定擬議活動的影響小于輕微或短暫的影響，可活動繼續，初步評估在國家層面進行。70Tanya O’Neill, Protection of Antarctic Soil Environments: A Review of the Current Issues and Future Challenges for the Environmental Protocol, Environmental Science and Policy,Vol. 76, p. 156 (2017).第二，初步環境評價。如果確定某項活動可能產生輕微或短暫的影響，則必須準備初步環境影響評價。第三，全面環境評價。如果初步環境影響評價表明可能產生輕微或短暫的影響，或者如果以其他方式確定可能產生這種影響，則必須準備全面環境影響評價。71《關于環境保護的南極條約議定書》附件一第2 條、第3 條。自2008 年以來，中國在南極展開了多次的環境影響評價活動，多為初步環境評價，僅有少數為全面環境評價。進行全面環境評價的原因主要是建立科考站或運行新設施。中國2008 年在南極建立昆侖站72Secretariat of the Antarctic Treaty, Final Comprehensive Environmental Evaluation of Proposed Construction and Operation of the new Chinese Dome A Station, ATS (24 March 2023), https://www.ats.aq/devAS/EP/EIAItemDetail/1221.以及在2013 年運行新設施時均進行了全面環境評價。73Secretariat of the Antarctic Treaty, Proposed Construction and Operation of a New Chinese Research Station, Victoria Land, Antarctica. Draft Comprehensive Environmental Evaluation, ATS (24 March 2023), https://www.ats.aq/devAS/EP/EIAItemDetail/156.中國在南極的活動遵守了相關國際條約的規定，履行了環境影響評價義務，體現了中國對擬開展活動可能帶來的環境損害風險的審慎管理。

（二）決策

《BBNJ 協定》第34 條決策中指明，在根據本部分確定計劃活動可否進行時，應充分考慮按照本部分進行的環境影響評價。締約方僅應在考慮到減輕或管理措施的情況下，確定其已作出一切合理努力，來確保該活動能以符合防止對海洋環境造成重大不利影響的方式開展時，就管轄或控制下的計劃活動作出授權決定。74《〈聯合國海洋法公約〉下國家管轄范圍以外區域海洋生物多樣性的養護和可持續利用協定》第34 條。在BBNJ 談判中，各方對決策的分歧是環境影響評價由誰主導的問題。75IISD, Daily Report for 21 February 2023, Resumed 5th Session of the Intergovernmental Conference (IGC) on BBNJ, Earth Negotiations Bulletin (22 February 2023), https://enb.iisd.org/marine-biodiversity-beyond-national-jurisdiction-bbnj-igc5-resumed-daily-report-21feb2022.《BBNJ協定》確立了由國家主導的決策標準。

決策涉及應當由誰實施風險預防方法的問題。這一條款指出國家進行計劃的活動時，應以環境影響評價的結果為基礎，防止對海洋環境造成重大不利影響。這體現了通過采取預防措施謹慎管理環境損害風險以防止計劃開展的活動對海洋環境造成重大或不可逆的環境損害，體現了風險預防的理念?！禕BNJ 協定》一般方法和原則部分的規定對協定其他部分的實施具有指導意義?！禕BNJ 協定》適用風險預防方法或風險預防原則。由國家主導決策意味著國家選擇適用風險預防原則還是風險預防方法的結果會影響環境影響評價的決策。

中國國內法關于環境影響評價的實踐體現了風險預防方法。中國2002 年通過的《中華人民共和國環境影響評價法》（以下簡稱“《環境影響評價法》”）要求對規劃和建設項目進行環境影響評價，以預防規劃和建設項目實施后對環境造成不良影響。76《中華人民共和國環境影響評價法》第7 條、第16 條。這表明中國重視通過環境影響評價的方式管理環境損害的風險。例如，核設施選址在辦理審批手續前需要編制環境影響評價報告書，核設施運營單位申請領取核設施建造、運行許可證也應當編制環境影響評價報告書。此外，《防治海洋工程建設項目污染損害海洋環境管理條例》規定了海洋工程環境影響評價制度。該條例第8 條指出，海洋工程的環境影響評價，應當以工程對海洋環境和海洋資源的影響為重點進行綜合分析、預測和評估，并提出相應的生態保護措施，預防、控制或者減輕工程對海洋環境和海洋資源造成的影響和破壞。77《防治海洋工程建設項目污染損害海洋環境管理條例》第8 條。對海洋工程進行環境影響評價的目的在于預防、控制和減輕工程造成的海洋環境損害，與風險預防方法內涵的三個基本要素相符。據此，中國國內法制定了綜合的環境影響評價制度，通過對擬進行的活動開展環境影響評價，綜合控制環境損害風險，體現了中國對于環境損害風險的謹慎管理，也體現了風險預防方法的內涵。

（三）監測授權活動的影響

《BBNJ 協定》第35 條監測授權活動的影響指出，締約方應利用現有最佳科學和科學信息，在可獲得的情況下，土著人民和當地社區的相關傳統知識，不斷監視其所準許或從事的任何在國家管轄范圍以外區域的活動的影響，以確定這些活動是否可能對海洋環境造成污染或不利影響。據此，第35 條主要內容是立足現有最佳科學和科學資料，通過不斷監測授權活動的影響，判斷在國家管轄范圍以外區域的活動是否會污染海洋環境或對其產生不利影響。持續性監測是《BBNJ協定》為締約方設立的預防環境損害的義務，也是管理風險的一種方式，屬于風險預防措施。監測能夠獲得科學信息和資料，為開展環境影響評價活動提供科學基礎，也能為風險預防的實施提供科學基礎。

從條文可知監測的對象是締約方在國家管轄范圍以外區域開展的任何活動的影響。還需要考慮相關影響，如經濟、社會、文化和人類健康影響。78《〈聯合國海洋法公約〉下國家管轄范圍以外區域海洋生物多樣性的養護和可持續利用協定》第35 條。以深海海底采礦為例，對深海海底采礦活動進行持續性監測，既包括根據商定的生物指標監測深海海底采礦的影響，也包括監測深海海底采礦產生的經濟影響、社會影響等方面的相關影響。目前，人類對深海生態系統的結構和功能以及采礦對生態系統影響的程度了解甚少。79Jennifer T. Le, Lisa A. Levin & Richard T. Carson, Incorporating Ecosystem Services into Environmental Management of Deep-seabed Mining, Deep Sea Research Part II: Topical Studies in Oceanography, Vol. 137, p. 486-503 (2017).深海海底采礦的潛在影響包括沉積物羽流擴散、水質變化、海底地球化學和物理性質的變化等。80Jayden Hyman, Rodney A Stewart & Oz Sahin, Adaptive Management of Deep-seabed Mining Projects: A Systems Approach, Integrated Environmental Assessment and Management, Vol. 18:3, p. 674-681 (2022).風險預防方法能夠靈活應對因對深海認識不足而導致的具有不確定性的環境損害風險。同時，因為風險預防方法兼顧環境利益與社會經濟利益，所以在持續性監測過程中也能考慮到深海海底采礦的經濟影響及社會影響等相關影響。

中國在南極海洋保護區的實踐以及國內的法律實踐反映了中國對于監測的態度。研究和監測計劃對海洋保護區的發展和實施至關重要。2018 年中國提交了關于改進羅斯海海洋保護區（Ross Sea region Marine Protected Area）研究和監測計劃草案的提案，表明中國重視在羅斯海海洋保護區開展研究和監測計劃81同前注62。。在中國的國內法中，監測也被用于保護環境?！董h境影響評價法》《中華人民共和國深海海底資源勘探開發法》（以下簡稱“《深海法》”）以及《海洋環境保護法》中均體現了監測的應用?！董h境影響評價法》規定了建設項目環評報告書的內容。環評報告書中應包含環境監測的建議。82《中華人民共和國環境影響評價法》第17 條?！渡詈７ā芬矠槌邪咴O定了定期向國務院海洋主管部門報告履行環境監測的情況的義務。83《中華人民共和國深海海底區域資源勘探開發法》第13 條?！逗Ｑ蟓h境保護法》也要求國家海洋行政主管部門會同有關部門組織全國海洋環境監測、監視網絡，定期評價海洋環境質量。84《中華人民共和國海洋環境保護法》第14 條。這表明中國在實踐中采用監測的方式預防和管理環境損害風險。

（四）小結

風險預防方法對環境影響評價更具有實際意義。相對于風險預防原則，風險預防方法具有靈活性，對擬開展的活動進行環境影響評價，能夠兼顧環境利益和社會經濟利益，符合可持續發展的理念。從環境影響評價的門檻來看，設置了分層的方式，具有靈活性，更符合風險預防方法的特征；從決策看，國家選擇適用風險預防方法或風險預防原則的結果會影響環境影響評價的決策；從監測授權活動的影響來看，風險預防方法更能兼顧社會影響、文化影響、經濟影響等方面。

在實踐中，環境影響評價對保護海洋環境免受環境損害具有重要作用。為有效保護海洋環境，針對深海礦物勘探活動，海管局采用了風險預防方法。海管局制定了專門的針對在“區域”內開展探礦活動進行環境影響評價的指南，即《指導承包者評估“區域”內海洋礦物勘探活動可能對環境造成影響的建議》（Recommendations for the guidance of contractors for the assessment of the possible environmental impacts arising from exploration for marine minerals in the Area）。在該建議中將在勘探期間進行的活動分為了不需要進行環境影響評價的活動以及需要進行環境影響評價的活動兩類。其一，勘探期間不需要進行環境影響評價的活動，即根據現有信息，一般認為目前用于勘探的技術不會對海洋環境造成嚴重損害的活動，如用于環境基線研究的海水、生物、沉積物和巖石采樣；其二，勘探期間需要進行環境影響評價的活動，即可能會對海洋環境產生嚴重損害的活動，如試采（Test-mining）、利用船載鉆機進行鉆探活動（Drilling activities using on-board drilling rigs）。85ISA, Recommendations for the Guidance of Contractors for the Assessment of the Possible Environmental Impacts Arising from Exploration for Marine Minerals in the Area,ISBA/25/LTC/6/Rev.1, 1 March 2013, para. 32-33.在勘探期間，對產生嚴重環境損害的活動進行環境影響評價一方面體現了審慎管理風險的理念，另一方面減少了進行環境影響評價的成本，考慮到了社會經濟因素，符合經濟效益，符合可持續發展理念。

中國支持環境影響評價在《BBNJ 協定》中的應用。中國在國際海洋保護區的實踐以及國內法實踐都體現了中國贊同通過環境影響評價制度保護海洋環境，防止或減少環境損害發生。從環境影響評價的門檻來講，雖然在2017 年《關于國家管轄范圍以外區域海洋生物多樣性養護和可持續利用問題國際文書草案要素的書面意見》中，中國認為環境影響評價的門檻應為“有合理依據認為”“可能造成重大污染或重大和有害變化”，在BBNJ 談判過程中，中國與其他各方代表對環境影響評價的門檻達成一致，贊同“超過輕微或短暫”的環境影響評價門檻。從決策來看，中國支持由國家主導而不是締約國大會主導的環境影響評價方式。從監測來看，中國重視用監測的方式保護海洋環境。中國在南極海洋保護區的實踐中提出要改善現有的南極研究和監測計劃，并提交了相應的提案。環境影響評價是在現有最佳科學證據的基礎上，評估計劃開展的活動的影響，以防止嚴重或不可逆的環境損害發生。環境影響評價對實現養護和可持續利用海洋生物多樣性的目標具有重要意義。就《BBNJ 協定》的實施而言，中國應倡導風險預防方法在實踐中的應用。

六、結 論

由于海洋科學和技術仍處于發展階段，國際社會對于海洋生態的認識和了解還不全面，人類活動對海洋生態環境以及海洋生物多樣性的影響具有不確定性，存在環境損害的風險。風險預防方法具有科學不確定性、環境損害風險以及采取措施三個基本內涵。風險預防方法和風險預防原則之間既有聯系也有區別。二者都具有避免環境損害風險的作用。相對于風險預防原則，風險預防方法具有法律性質明晰、靈活性以及符合可持續發展理念的特點，因此風險預防方法在指導《BBNJ 協定》各部分實施時可兼顧海洋生物多樣性的養護與利用。為實現養護和實現國家管轄范圍以外區域海洋生物多樣性的當前以及長期養護和可持續利用的目的，《BBNJ 協定》應將一般原則與方法中的“風險預防方法”或“風險預防原則”解釋為風險預防方法，這對劃區管理工具以及環境影響評價而言更具有實踐意義。

就一般原則和方法而言，選擇適用風險預防方法既能兼顧環境利益與社會經濟利益，也能促進《BBNJ 協定》與其他國際協定的協調統一。風險預防方法在劃區管理工具部分的適用，可以根據不同形式的劃區管理工具制定具有差異性的風險預防措施，以避免嚴重或不可逆的環境損害。風險預防方法在環境影響評價部分的適用，能綜合考慮擬開展活動的各方面的影響。

在中國視角下，風險預防方法具有實踐意義。中國在國內法中也重視風險預防的適用，《深海法》中的有關條款體現了風險預防的理念，其對深海采礦活動的監測要求體現了對環境風險的謹慎管理。中國在海管局以及南極的實踐中也體現了對風險預防方法的支持。海管局在礦物資源勘探開發活動的管理中引入了風險預防方法，以預防深海海底采礦可能造成嚴重的或不可逆的環境損害；為保護海洋環境，海管局在CC 區區域環境管理計劃中的特別環境利益區以及新增特別環境利益區中也適用了風險預防方法。在南極羅斯海海洋保護區的提案中，中國認為應將現有最佳科學作為風險預防方法的適用條件，最佳科學可以為風險預防方法的實施提供所需的科學信息。

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