国际海底管理局管理生物多样性问题可行性研究
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摘要
目前,关于如何建立国际管理机构和相应制度,对国家管辖外海域生物多样性进行养护和可持续性利用,存在不同设想,其中,将国际海底管理局职权扩张,由其管理生物多样性问题的主张较为引人注目。虽然国际海底管理局管理生物多样性事务有其优势,但国家管辖外海域的生物资源与矿产资源在法律属性上有着根本不同,而且国际海底管理局的宗旨和功能、机构设置、机制运行等不完全符合管理生物资源的要求,因此该模式实际操作起来并不现实。
The issue of the conservation and sustainable use of biodiversity in areas beyond national jurisdiction has become an important one in the current development of the law of the sea. There are different ideas on how to establish corresponding international management body and regime in the international community, and the proposal to expand the jurisdiction of the International Seabed Authority to marine biodiversity is quite noticeable. This proposal has its advantages. However, the biological resources in the areas beyond national jurisdiction and mineral resources in the Areas are fundamentally different in their legal status. Furthermore, the principles and functions, institutional arrangements and the operation of mechanisms of the Authority are not completely in line with the requirements for the management of biological resources. Thus, it is rarely a feasible way to establish international management institution for BBNJ.
The issue of the conservation and sustainable use of biodiversity in areas beyond national jurisdiction has become an important one in the current development of the law of the sea. There are different ideas on how to establish corresponding international management body and regime in the international community, and the proposal to expand the jurisdiction of the International Seabed Authority to marine biodiversity is quite noticeable. This proposal has its advantages. However, the biological resources in the areas beyond national jurisdiction and mineral resources in the Areas are fundamentally different in their legal status. Furthermore, the principles and functions, institutional arrangements and the operation of mechanisms of the Authority are not completely in line with the requirements for the management of biological resources. Thus, it is rarely a feasible way to establish international management institution for BBNJ.
引文
(1)UN, A/RES/69/292, para.2.
(1)See Glen Wright, Juilen Rochette, Elisabeth Druel&Kristina Gjerde, The Long and Winding Road Continues:Towards a New Agreement on High Seas Governance, p.8,http://www.iddri.org/sites/default/files/import/publications/sto116 gw-et-al.high-seas.pdf, visited on 25 April 2018.
(2)See Report of the Preparatory Committee Established by General Assembly Resolution 69/292:Development of an International Legally Binding Instrument 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, p.19, http://www.un.org/ga/search/viewdoc.asp?symbol=:A/AC.287/2017/PC.4/2, visited on 30 April 2018.
(3)如David Freestone教授等认为,“在可预见的未来,(国家管辖外)生物多样性的保护在全球层面不太可能或者极不情愿形成机构性的执行”。See David Freestone et al.,Can Existing Institutions Protect Biodiversity in Areas Beyond National Jurisdiction? Experiences from Two On-going Processes, 175 Marine Policy 49(2014).
(4)参见胡学东:《公海生物资源管理制度研究》,中国海洋大学2012年博士学位论文,第58页。
(5)参见胡斌:《论“港口国准入权”滥用对船舶管辖法律制度的冲击》,《中国海商法研究》2014年第4期,第97页。
(1)See Rosemary Rayfuse&R. Warner, Securing a Sustainable Future for the Ocean Beyond National Jurisdiction:The Legal Basis for An Integrated Cross-Sectoral Regime for High Seas Governance for the 21st Century, 23 International Journal of Marine and Coastal Law 402(2008); Catherine Blanchard, High Seas Fisheries:Preliminary Reflections on a Global Ocean Governance Approach, 84 Marine Policy 327(2017).
(2)See Glen Wright, Juilen Rochette, Elisabeth Druel&Kristina Gjerde, The Long and Winding Road Continues:Towards a New Agreement on High Seas Governance, p.8,http://www.iddri.org/sites/default/files/import/publications/sto116 gw-et-al.high-seas.pdf, visited on 25 April 2018.
(3)如七十七国集团和中国以及绿色和平组织的提议。See Chair’s Non-paper on Elements of A Draft Text of an International Legally-Binding Instrument 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, p.94, http://www.un.org/depts/los/biodiversity/prepcomfiles/chairsstreamlinednon-papertodelegations.pdf. Report of the Preparatory Committee Etablished by General Assembly Resolution 69/292:Development of an International Legally-Binding Instrument 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, p.19, http://www.un.org/ga/search/viewdoc.asp?symbol=A/AC.287/2017/PC.4/2, visited on 30 April 2018.
(4)Rosemary Rayfuse&R. Warner, Securing a Sustainable Future for the Ocean Beyond National Jurisdiction:The Legal Basis for An Integrated Cross-Sectoral Regime for High Seas Governance for the 21st Century, 23 The International Journal of Marine and Coastal Law 419-420(2008).
(1)参见太平洋小岛屿发展中国家(Pacific Small Island Developing States, PSIDS)代表团的提议。Chair’s Non-paper on Elements of a Draft Text of an International Legally-Binding Instrument 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, pp.95-97, http://www.un.org/depts/los/biodiversity/prepcomfiles/chairsstream line dnon-papertodelegations.pdf, visited on 30 August 2017.
(1)《国家管辖海域外生物多样性管理问题——相关国际组织与论坛活动》,http://china-isa.jm.china-embassy.org/chn/hdxx/P020070131811463123368.pdf,2017年11月25日访问。
(2)《国际海底管理局第22届会议》,http://china-isa.jm.china-embassy.org/chn/hdxx/t1395674.htm,2017年11月30日访问。
(3)See International Seabed Authority, Biodiversity, Species Ranges, and Gene Flow in the Abyssal Pacific Nodule Province:Predicting and Managing the Impacts of Deep Seabed Mining, pp.1-3, https://www.isa.org.jm/sites/default/files/files/documents/techstudy3.pdf,visited on 25 April 2018.
(4)See James Harrison, The Sustainable Development of Mineral Resources in the International Seabed Area:The Role of the Authority in Balancing Economic Development and Environmental Protection, 3 Scottish Centre for International Law Working Paper Series 29-31(2014).
(5)Elisabeth Mann-Borgese, The International Seabed Authority as Prototype for Future International Resource Management Institutions, in 1 Académie de droit international de La Haye 62(Brill/Nijhoff 2014).
(1)《国际海底管理局第22届会议》,http://china-isa.jm.china-embassy.org/chn/hdxx/t1395674.htm,2018年5月30日访问。在各方评价中,南非、加纳等国家赞赏并支持管理局在能力建设方面的工作,积极评价包括讲习班、研讨会等为发展中国家提供的培训机会。
(2)《国际海底管理局第22届会议》,http://china-isa.jm.china-embassy.org/chn/hdxx/t1395674.htm,2018年5月30日访问。
(3)参见金建才:《深海底生物多样性与基因资源管理问题》,《地球科学进展》2005年第1期,第24页;朱建庚:《海洋环境保护的国际法》,中国政法大学出版社2013年版,第94页。
(1)参见[荷]格劳秀斯:《海洋自由论》,宇川、汤茜茜译,上海三联出版社2005年版,第32页。
(2)See David Freestone, International Governance, Responsibility and Management of Areas Beyond National Jurisdiction, 27 The International Journal of Marine and Coastal Law 200(2012).
(3)在1967年马耳他代表帕多的提议下,该原则首先在联大第2749(XXV)号决议《关于国家管辖范围以外海床洋底及其底土的原则宣言》中得到承认,并最终在1982年《联合国海洋法公约》中确立了以人类共同继承财产为基础的国际海底区域制度。
(1)See Dire Tladi, The Common Heritage of Mankind and The Proposed Treaty on Biodiversity in Areas Beyond National Jurisdiction:The Choice Between Pragmatism and Sustainability, 25 Yearbook of International Environmental Law 113-132(2015).
(2)著名国际环境法学者亚历山大·基斯指出,共同关切首先是承认该事项的全球性价值,在此基础上通过每个国家的独立行动和国际社会的国家间合作保护该事项。See Alexandre Kiss, The Common Concern of Mankind, 27 Environment Policy and Law 245(1997).
(3)参见秦天宝:《国际法的新概念“人类共同关切事项”初探——以〈生物多样性公约〉为例的考察》,《法学评论》2006年第5期,第99-102页。
(1)See Alex G. O. Elferink, The Regime of the Area:Delineating the Scope of Application of the Common Heritage Principle and Freedom of the High Seas, 22 The International Journal of Marine and Coastal Law 143, 150(2007).
(2)See Alexander Proelss, Marine Genetic Resources under UNCLOS and the CBD,51 German Yearbook of International Law 424(2008).
(3)See Frida M. A. Pfirter, The Management of Seabed Living Resources in “the Area” under UNCLOS, http://www.reei.org/reei%2011/F.Armas(reei11).pdf, visited on 15April 2018.
(4)在关于国家管辖外区域生物多样性全球性协议的制定过程中,七十七国集团坚持海洋生物遗传资源应适用人类共同继承财产原则,在后续的讨论中达成惠益分享制的妥协,但声称公约第十一部分对资源的定义并没有明确排除生物资源,因此至少应将“区域”内的生物资源纳入人类共同继承财产适用范围,由管理局代表全人类进行管理。See Glen Wright&J. Rochette, Sea Change:Negotiating a New Agreement on the Conservation and Sustainable Use of Marine Biodiversity in Areas Beyond National Jurisdiction, http://www.iddri.org/Publications/Collections/Syntheses/IB0416_GW%20et%20al._high%20seas.pdf,visited on 25 November 2017.
(5)See Dire Tladi, The Common Heritage of Mankind and the Proposed Treaty on Biodiversity in Areas beyond National Jurisdiction:The Choice between Pragmatism and Sustainability, 25 Yearbook of International Environmental Law 113-132(2015).
(1)管理局保护“区域”内自然资源的职责也是由其对矿产资源的管理而产生的,目的仅限于避免或尽量减少区域矿产资源的勘探开发活动对周边环境及生物多样性的损害。See Alexander Proelss, Marine Genetic Resources under UNCLOS and the CBD, 51 German Yearbook of International Law 417-446(2008).
(1)关于国家管辖外海域生物多样性的治理宗旨和原则也是新协议讨论的主要议题之一,主要有D. Freestone, IUCN, Alex G. O. Elferink等的观点。See Katherine Houghton,Identifying New Pathways for Ocean Governance:The Principles in Areas beyond National Jurisdiction, 49 Marine Policy 120(2014).
(2)参见张湘兰、叶泉:《论沿海国对其专属经济区内船舶污染的立法管辖权》,《当代法学》2012年第3期,第78页。
(1)参见齐飞:《WTO争端解决机构的造法》,《中国社会科学》2012年第2期,第98页。
(2)此处可以考虑法律与技术委员会兼任,法技委一直以来对海洋生态环境的保护予以重视并付诸实践,在此方面有一定的经验和技术基础。
(3)理事会的组成涉及极其复杂的国际关系,包括南北之间的利益冲突以及南南、北北内部利益分享等,一旦发生变化,很难再度达成平衡。See D. Konig, Genetic Resources of the Deep Sea-How Can They Be Preserved, in D. Konig et al.(eds.), International Law Today:New Challenges and the Need for Reform 141-163(Springer 2008).
(4)参见金永明:《国际海底区域的法律地位与资源开发制度研究》,华东政法大学2005年博士学位论文,第68页。
(5)See Christian Prip, Towards a New Legally Binding Instrument on the Conservation and Sustainable Use of Marine Biodiversity of Areas Beyond National Jurisdiction,http://site.uit.no/jclos/2016/10/21/towards-a-new-legally-binding-instrument-on-the-conservation-an d-sustainable-use-of-marine-biodiversity-of-areas-beyond-national-jurisdiction/,visited on 21 April2018.
(1)比如,在如何确定申请的知识产权来源于海洋生物遗传资源的问题上,就需要与世界贸易组织和世界知识产权组织就《与贸易有关的知识产权协定》和相关专利条约中关于来源披露的强制性要求达成一致。参见[德]格莱伯等:《遗传资源获取与惠益分享的《名古屋议定书》诠释》,薛达元、林艳梅译,中国环境出版社2013年版,第41页。
(2)全球90%涉及海洋基因的专利权掌握在十个国家手中。See Sophie Arnaud-Haond,J. M. Arrieta&C. M. Duarte, Marine Biodiversity and Gene Patents, 331 Science1521-1522(2011).
(1)See Glen Wright, Juilen Rochette, Elisabeth Druel&Kristina Gjerde, The Long and Winding Road Continues:Towards a New Agreement on High Seas Governance, p.8,http://www.iddri.org/sites/default/files/import/publications/sto116 gw-et-al.high-seas.pdf, visited on 25 April 2018.
(2)See Report of the Preparatory Committee Established by General Assembly Resolution 69/292:Development of an International Legally Binding Instrument 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, p.19, http://www.un.org/ga/search/viewdoc.asp?symbol=:A/AC.287/2017/PC.4/2, visited on 30 April 2018.
(3)如David Freestone教授等认为,“在可预见的未来,(国家管辖外)生物多样性的保护在全球层面不太可能或者极不情愿形成机构性的执行”。See David Freestone et al.,Can Existing Institutions Protect Biodiversity in Areas Beyond National Jurisdiction? Experiences from Two On-going Processes, 175 Marine Policy 49(2014).
(4)参见胡学东:《公海生物资源管理制度研究》,中国海洋大学2012年博士学位论文,第58页。
(5)参见胡斌:《论“港口国准入权”滥用对船舶管辖法律制度的冲击》,《中国海商法研究》2014年第4期,第97页。
(1)See Rosemary Rayfuse&R. Warner, Securing a Sustainable Future for the Ocean Beyond National Jurisdiction:The Legal Basis for An Integrated Cross-Sectoral Regime for High Seas Governance for the 21st Century, 23 International Journal of Marine and Coastal Law 402(2008); Catherine Blanchard, High Seas Fisheries:Preliminary Reflections on a Global Ocean Governance Approach, 84 Marine Policy 327(2017).
(2)See Glen Wright, Juilen Rochette, Elisabeth Druel&Kristina Gjerde, The Long and Winding Road Continues:Towards a New Agreement on High Seas Governance, p.8,http://www.iddri.org/sites/default/files/import/publications/sto116 gw-et-al.high-seas.pdf, visited on 25 April 2018.
(3)如七十七国集团和中国以及绿色和平组织的提议。See Chair’s Non-paper on Elements of A Draft Text of an International Legally-Binding Instrument 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, p.94, http://www.un.org/depts/los/biodiversity/prepcomfiles/chairsstreamlinednon-papertodelegations.pdf. Report of the Preparatory Committee Etablished by General Assembly Resolution 69/292:Development of an International Legally-Binding Instrument 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, p.19, http://www.un.org/ga/search/viewdoc.asp?symbol=A/AC.287/2017/PC.4/2, visited on 30 April 2018.
(4)Rosemary Rayfuse&R. Warner, Securing a Sustainable Future for the Ocean Beyond National Jurisdiction:The Legal Basis for An Integrated Cross-Sectoral Regime for High Seas Governance for the 21st Century, 23 The International Journal of Marine and Coastal Law 419-420(2008).
(1)参见太平洋小岛屿发展中国家(Pacific Small Island Developing States, PSIDS)代表团的提议。Chair’s Non-paper on Elements of a Draft Text of an International Legally-Binding Instrument 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, pp.95-97, http://www.un.org/depts/los/biodiversity/prepcomfiles/chairsstream line dnon-papertodelegations.pdf, visited on 30 August 2017.
(1)《国家管辖海域外生物多样性管理问题——相关国际组织与论坛活动》,http://china-isa.jm.china-embassy.org/chn/hdxx/P020070131811463123368.pdf,2017年11月25日访问。
(2)《国际海底管理局第22届会议》,http://china-isa.jm.china-embassy.org/chn/hdxx/t1395674.htm,2017年11月30日访问。
(3)See International Seabed Authority, Biodiversity, Species Ranges, and Gene Flow in the Abyssal Pacific Nodule Province:Predicting and Managing the Impacts of Deep Seabed Mining, pp.1-3, https://www.isa.org.jm/sites/default/files/files/documents/techstudy3.pdf,visited on 25 April 2018.
(4)See James Harrison, The Sustainable Development of Mineral Resources in the International Seabed Area:The Role of the Authority in Balancing Economic Development and Environmental Protection, 3 Scottish Centre for International Law Working Paper Series 29-31(2014).
(5)Elisabeth Mann-Borgese, The International Seabed Authority as Prototype for Future International Resource Management Institutions, in 1 Académie de droit international de La Haye 62(Brill/Nijhoff 2014).
(1)《国际海底管理局第22届会议》,http://china-isa.jm.china-embassy.org/chn/hdxx/t1395674.htm,2018年5月30日访问。在各方评价中,南非、加纳等国家赞赏并支持管理局在能力建设方面的工作,积极评价包括讲习班、研讨会等为发展中国家提供的培训机会。
(2)《国际海底管理局第22届会议》,http://china-isa.jm.china-embassy.org/chn/hdxx/t1395674.htm,2018年5月30日访问。
(3)参见金建才:《深海底生物多样性与基因资源管理问题》,《地球科学进展》2005年第1期,第24页;朱建庚:《海洋环境保护的国际法》,中国政法大学出版社2013年版,第94页。
(1)参见[荷]格劳秀斯:《海洋自由论》,宇川、汤茜茜译,上海三联出版社2005年版,第32页。
(2)See David Freestone, International Governance, Responsibility and Management of Areas Beyond National Jurisdiction, 27 The International Journal of Marine and Coastal Law 200(2012).
(3)在1967年马耳他代表帕多的提议下,该原则首先在联大第2749(XXV)号决议《关于国家管辖范围以外海床洋底及其底土的原则宣言》中得到承认,并最终在1982年《联合国海洋法公约》中确立了以人类共同继承财产为基础的国际海底区域制度。
(1)See Dire Tladi, The Common Heritage of Mankind and The Proposed Treaty on Biodiversity in Areas Beyond National Jurisdiction:The Choice Between Pragmatism and Sustainability, 25 Yearbook of International Environmental Law 113-132(2015).
(2)著名国际环境法学者亚历山大·基斯指出,共同关切首先是承认该事项的全球性价值,在此基础上通过每个国家的独立行动和国际社会的国家间合作保护该事项。See Alexandre Kiss, The Common Concern of Mankind, 27 Environment Policy and Law 245(1997).
(3)参见秦天宝:《国际法的新概念“人类共同关切事项”初探——以〈生物多样性公约〉为例的考察》,《法学评论》2006年第5期,第99-102页。
(1)See Alex G. O. Elferink, The Regime of the Area:Delineating the Scope of Application of the Common Heritage Principle and Freedom of the High Seas, 22 The International Journal of Marine and Coastal Law 143, 150(2007).
(2)See Alexander Proelss, Marine Genetic Resources under UNCLOS and the CBD,51 German Yearbook of International Law 424(2008).
(3)See Frida M. A. Pfirter, The Management of Seabed Living Resources in “the Area” under UNCLOS, http://www.reei.org/reei%2011/F.Armas(reei11).pdf, visited on 15April 2018.
(4)在关于国家管辖外区域生物多样性全球性协议的制定过程中,七十七国集团坚持海洋生物遗传资源应适用人类共同继承财产原则,在后续的讨论中达成惠益分享制的妥协,但声称公约第十一部分对资源的定义并没有明确排除生物资源,因此至少应将“区域”内的生物资源纳入人类共同继承财产适用范围,由管理局代表全人类进行管理。See Glen Wright&J. Rochette, Sea Change:Negotiating a New Agreement on the Conservation and Sustainable Use of Marine Biodiversity in Areas Beyond National Jurisdiction, http://www.iddri.org/Publications/Collections/Syntheses/IB0416_GW%20et%20al._high%20seas.pdf,visited on 25 November 2017.
(5)See Dire Tladi, The Common Heritage of Mankind and the Proposed Treaty on Biodiversity in Areas beyond National Jurisdiction:The Choice between Pragmatism and Sustainability, 25 Yearbook of International Environmental Law 113-132(2015).
(1)管理局保护“区域”内自然资源的职责也是由其对矿产资源的管理而产生的,目的仅限于避免或尽量减少区域矿产资源的勘探开发活动对周边环境及生物多样性的损害。See Alexander Proelss, Marine Genetic Resources under UNCLOS and the CBD, 51 German Yearbook of International Law 417-446(2008).
(1)关于国家管辖外海域生物多样性的治理宗旨和原则也是新协议讨论的主要议题之一,主要有D. Freestone, IUCN, Alex G. O. Elferink等的观点。See Katherine Houghton,Identifying New Pathways for Ocean Governance:The Principles in Areas beyond National Jurisdiction, 49 Marine Policy 120(2014).
(2)参见张湘兰、叶泉:《论沿海国对其专属经济区内船舶污染的立法管辖权》,《当代法学》2012年第3期,第78页。
(1)参见齐飞:《WTO争端解决机构的造法》,《中国社会科学》2012年第2期,第98页。
(2)此处可以考虑法律与技术委员会兼任,法技委一直以来对海洋生态环境的保护予以重视并付诸实践,在此方面有一定的经验和技术基础。
(3)理事会的组成涉及极其复杂的国际关系,包括南北之间的利益冲突以及南南、北北内部利益分享等,一旦发生变化,很难再度达成平衡。See D. Konig, Genetic Resources of the Deep Sea-How Can They Be Preserved, in D. Konig et al.(eds.), International Law Today:New Challenges and the Need for Reform 141-163(Springer 2008).
(4)参见金永明:《国际海底区域的法律地位与资源开发制度研究》,华东政法大学2005年博士学位论文,第68页。
(5)See Christian Prip, Towards a New Legally Binding Instrument on the Conservation and Sustainable Use of Marine Biodiversity of Areas Beyond National Jurisdiction,http://site.uit.no/jclos/2016/10/21/towards-a-new-legally-binding-instrument-on-the-conservation-an d-sustainable-use-of-marine-biodiversity-of-areas-beyond-national-jurisdiction/,visited on 21 April2018.
(1)比如,在如何确定申请的知识产权来源于海洋生物遗传资源的问题上,就需要与世界贸易组织和世界知识产权组织就《与贸易有关的知识产权协定》和相关专利条约中关于来源披露的强制性要求达成一致。参见[德]格莱伯等:《遗传资源获取与惠益分享的《名古屋议定书》诠释》,薛达元、林艳梅译,中国环境出版社2013年版,第41页。
(2)全球90%涉及海洋基因的专利权掌握在十个国家手中。See Sophie Arnaud-Haond,J. M. Arrieta&C. M. Duarte, Marine Biodiversity and Gene Patents, 331 Science1521-1522(2011).