论BBNJ协定中公海保护区宜采取全球管理模式
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摘要
当前,联合国大会正式启动了就国家管辖海域外生物多样性(BBNJ)的养护和可持续利用问题拟订一份具有法律约束力的国际文书的进程。该文书被视为《联合国海洋法公约》的第三个执行协定,将处理包括公海保护区在内的一系列重要议题。在谈判过程中,各方对于公海保护区的管理模式到底应当采用全球模式还是区域模式一直未达成共识。通过对全球模式和区域模式进行深入分析可得,区域模式在公海保护区问题上存在一定的局限性。在后续谈判时,中国应当在继续主张采取全球模式的基础上提出相应的措施,以切实推动公海保护区议题的谈判。
Currently, the UN General Assembly has officially initiated the process of developing an international legally binding instrument on the conservation and sustainable use of biodiversity beyond national jurisdiction. Regarded as the third implementing agreement of the United Nations Convention on the Law of the Sea, the instrument will cope with a series of important issues including high seas marine protected areas. In the earlier negotiation, the parties have not reached a consensus on the management model of the high seas protected areas. Based on an in-depth analysis of both global and regional management model, limitations of the regional model on the issue of high seas marine protected areas could be concluded. In the follow-up negotiations, China should put forward corresponding measures on the basis of insisting on advocating the adoption of a global model so as to effectively promote negotiation on the issue of high seas marine protected areas.
Currently, the UN General Assembly has officially initiated the process of developing an international legally binding instrument on the conservation and sustainable use of biodiversity beyond national jurisdiction. Regarded as the third implementing agreement of the United Nations Convention on the Law of the Sea, the instrument will cope with a series of important issues including high seas marine protected areas. In the earlier negotiation, the parties have not reached a consensus on the management model of the high seas protected areas. Based on an in-depth analysis of both global and regional management model, limitations of the regional model on the issue of high seas marine protected areas could be concluded. In the follow-up negotiations, China should put forward corresponding measures on the basis of insisting on advocating the adoption of a global model so as to effectively promote negotiation on the issue of high seas marine protected areas.
引文
① “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”,United Nations General Assembly,July 6,2015,https://documents-dds-ny.un.org/doc/UNDOC/GEN/N15/187/55/PDF/N1518755.pdf?OpenElement.
② “66/231.Oceans and the Law of the Sea”,United Nations General Assembly,April 5,2012,https://undocs.org/en/A/RES/66/231.
(1)“Earth Negotiations Bulletin IGC 1 Final”,International Institute for Sustainable Development,September 20,2018,http://enb.iisd.org/oceans/bbnj/igc1/.
(2)白佳玉、李玲玉:“北极海域视角下公海保护区发展态势与中国因应”,《太平洋学报》,2017年第4期,第26页。
(3)David Freestone,“International Governance,Responsibility and Management of Areas beyond National Jurisdiction”,The International Journal of Marine and Coastal Law,Vol.27,No.2,2012,p.197.
(4)Kristina M.Gjerde et al.,Regulatory and Governance Gaps in the International Regime for the Conservation and Sustainable Use of Marine Biodiversity in Areas beyond National Jurisdiction,IUCN,2008,pp.22-32.
(5)梁西著:《国际组织法》,武汉大学出版社,2001年版,第7页。
(6)Julien Rochette and Rapha?l Billé,“Bridging the Gap between Legal and Institutional Developments within Regional Seas Frameworks”,The International Journal of Marine and Coastal Law,Vol.28,No.3,2013,pp.433-463.
(7)Kristina Gjerde et al.,“Conservation and Sustainable Use of Marine Biodiversity in Areas Beyond National Jurisdiction:Options for Underpinning a Strong Global BBNJ Agreement through Regional and Sectoral Governance”,August 2018,https://www.prog-ocean.org/wp-content/uploads/2018/08/STRONG-High-Seas-Policy-Brief_Options-for-underpinning-BBNJ-agreement.pdf.
(8)“Memorandum of Understanding between the North East Atlantic Fisheries Commission (NEAFC) and the OSPAR Commission”,the OSPAR Commission,September 5,2008,https://www.ospar.org/site/assets/files/1357/mou_neafc_ospar.pdf.
(9)Kristina M.Gjerde and Anna Rulska-Domino,“Marine Protected Areas beyond National Jurisdiction:Some Practical Perspectives for Moving Ahead”,The International Journal of Marine and Coastal Law,Vol.27,No.2,2012,p.357.
(10)Stefan ásmundsson and Emily Corcoran,“The Process of Forming a Cooperative Mechanism Between NEAFC and OSPAR”,OSPAR Commission,April 2016,https://www.ospar.org/documents?v=35111.
(11)张磊:“走出开发与保护二元对立的定势——风险预防原则在深海资源开发领域的变通适用”,《探索与争鸣》,2018年第5期,第94页。
(12)“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”,United Nations General Assembly,July 31,2017,https://undocs.org/A/AC.287/2017/PC.4/2.
(13)[美]路易斯·B·宋恩等著,傅崐成译:《海洋法精要》,上海交通大学出版社,2014年版,第248页。
(14)“The World Conservation Union Resolution 17.38 of the 17th Session of the General Assembly of the IUCN”,International Union for Conservation of Nature,February 1988,https://portals.iucn.org/library/efiles/documents/GA-17th-011.pdf.
(15)值得注意的例外情形是,当区域组织在公海保护区内采取管理和养护跨界和洄游鱼类的措施时,可以对《鱼类种群协定》的缔约方产生间接的约束力。这是因为根据《鱼类种群协定》第8条第4款“有权捕捞公海特定区域中的渔业资源的国家仅限于主管区域渔业管理组织成员国,或者同意适用这种组织所订立的养护和管理措施的国家”的规定,《鱼类种群协定》的缔约方在捕捞上述鱼类时,必须以接受此类管理措施为前提条件。
(16)[意]安东尼奥·卡塞斯著,蔡从燕等译:《国际法》,法律出版社,2009年版,第208页。
(17)在第一次预委会期间,挪威呼吁关注依靠现有结构所带来的成本效益,例如海事组织、区域渔业管理组织和区域海洋组织,而不是建立新的机构;澳大利亚反对需要全球管理和审查的划区管理工具,或者重复现有机构的努力。“Earth Negotiations Bulletin PrepCom1 Final”,International Institute for Sustainable Development,April 11,2016,http://www.iisd.ca/oceans/bbnj/prepcom1/。在第二次预委会期间,冰岛告诫不要通过潜在的全球机构侵犯区域渔业管理组织的职能;国际大西洋金枪鱼养护委员会建议尊重区域渔业管理组织的职能,并告诫不要利用海洋保护区取代区域或部门机构的管理措施;“Negotiations Bulletin PrepCom2 Final”,International Institute for Sustainable Development,September 12,2016,http://www.iisd.ca/oceans/bbnj/prepcom2/。在第三次预委会期间,加拿大和俄罗斯联邦告诫不要采取全球方法和重复工作,而是更愿意按照《鱼类种群协定》的模式在区域或部门一级执行;日本警告不要损害国际海事组织和区域渔业管理组织等现有机构的职能;新西兰支持区域协调,质疑ILBI缔约方会议是否比区域和部门机构更好地了解所需采取何种措施;密克罗尼西亚联邦警告说全球决策可能会非常缓慢;“Earth Negotiations Bulletin PrepCom3 Final”,International Institute for Sustainable Development,April 10,2017,http://www.iisd.ca/oceans/bbnj/prepcom3/。在政府间会议期间,美国与俄罗斯的反对立场最具代表性,美国认为一个全球层面决策中心化的制度可能会重复并损害现有制度,俄罗斯则认为全球多数投票将使设立公海保护区的进程政治化。“Earth Negotiations Bulletin IGC 1 Final”,International Institute for Sustainable Development,September 20,2018,http://enb.iisd.org/oceans/bbnj/igc1/。一些学者认为区域方法比全球方法更容易采取合作性的行动,因为具有多样化利益冲突的利益攸关方会增加谈判的难度,而区域驱动的自下而上的方法可以促进沿海国家和其他利益攸关方更积极地参与,并支持共同开发和实施基于生态系统的管理制度。Julien Rochette et al,“The Regional Approach to the Conservation and Sustainable Use of Marine Biodiversity in Areas Beyond National Jurisdiction”,Marine Policy,Vol.49,No.15,2014,p.109。
(18)David Freestone,David Johnson,Jeff Ardron,Kate Killerlain Morrison and Sebastian Unger,“Can Existing Institutions Protect Biodiversity in Areas Beyond National Jurisdiction?Experiences From Two On-Going Processes”,Marine Policy,Vol.49,No.21,2014,p.174.
(19)同①,p.175。
(20)“Earth Negotiations Bulletin PrepCom3 Final”,International Institute for Sustainable Development,April 10,2017,http://www.iisd.ca/oceans/bbnj/prepcom3/.④ 根据联合国粮农组织渔业治理情况说明统计与整理,见:“Regional Fishery Bodies Fact Sheets”,Food and Agriculture Organization of the United Nations,http://www.fao.org/fishery/rfb/search/en,Access Time:Jan.27,2019。
(21)朱建庚著:《海洋环境保护的国际法》,中国政法大学出版社,2013年版,第146页。
(22)有学者将该两项原则纳入其总结的现代公海治理十大原则之中,并认为国际社会在一系列全球和区域文书以及许多国际法院和法庭的判决中普遍接受了这些原则。See David Freestone,“International Governance,Responsibility and Management of Areas beyond National Jurisdiction”,The International Journal of Marine and Coastal Law,Vol.27,No.2,2012,pp.191-204;David Freestone,“Modern Principles of High Seas Governance:The Legal Underpinnings”,Environmental Policy and Law,Vol.39,No.1,2009,pp.44-49.
(23)2004年,《生物多样性公约》第七次缔约方大会(COP7)提出了“到2010年实现10%全球海洋区域的有效管理”的目标,并于2006年编制了一套用于描述具有重要生态或生物意义的海洋区域(EBSAs)的科学标准。当前,描述具有生态或生物学意义的海洋区域(EBSAs)工作已经覆盖了全球279处具有重要生态或生物学意义的海洋区域,其中有71处位于国家管辖范围外,占到了总描述区域的21%,并且此项工作还在不断进行。“Earth Negotiations Bulletin PrepCom3 Final”,International Institute for Sustainable Development,April 10,2017,http://www.iisd.ca/oceans/bbnj/prepcom3/.
(24)“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”,United Nations General Assembly,July 31,2017,https://undocs.org/A/AC.287/2017/PC.4/2.
(25)Dire Tladi,“The Proposed Implementing Agreement:Options for Coherence and Consistency in the Establishment of Protected Areas beyond National Jurisdiction”,The International Journal of Marine and Coastal Law,Vol.30,No.4,2015,p.671.
(26)罗欢欣:“国家在国际造法进程中的角色和功能——以国际海洋法的形成和运作为例”,《法学研究》,2018年第4期,第56页。
(27)David Freestone,“Governance of Areas Beyond National Jurisdiction:An Unfinished Agenda?” in Jill Barrett and Richard Barnes,ed.,Law of the Sea:UNCLOS as a Living Treaty,British Institute of International and Comparative Law,2016,pp.231-265.
(28)Danielle Smith and Julia Jabour,“MPAs in ABNJ:Lessons from Two High Seas Regimes”,ICES Journal of Marine Science,Vol.75,No.1,2018,p.422.
(29)方银霞、尹洁、唐勇、李金蓉:“全球外大陆架划界进展与形势分析”,《中国海洋法学评论》,2016年第2期,第10页。
(30)David Freestone,“The Limits of Sectoral and Regional Efforts to Designate High Seas Marine Protected Areas”,American Journal of International Law Unbound,Vol.112,No.26,2018,p.133.
(31)Louis Henkin,How Nations Behave,Columbia University Press,1979,p.47.
(32)张晓:“国际海洋生态环境保护新视角:海洋保护区空间规划的功效”,《国外社会科学》,2016年第5期,第92页。
(33)Tundi Agardy,Giuseppe Notarbartolo di Sciara and Patrick Christie,“Mind the Gap:Addressing the Shortcomings of Marine Protected Areas through Large Scale Marine Spatial Planning”,Marine Policy,Vol.35,No.2,2011,pp.226-232.
(34)See North Sea Continental Shelf (Federal Republic of Germany/Netherlands),Judgment,I.C.J.Reports 1986,p.44,para.77.
(35)“国家管辖范围以外区域海洋生物多样性养护与可持续利用国际研讨会专家观点集萃”,中国海洋在线,2018年10月24日,http://www.oceanol.com/guoji/201810/24/c81980.html。
(36)同①。
(37)Barry Buzan,“Negotiating by Consensus:Developments in Technique at the United Nations Conference on the Law of the Sea”,American Journal of International Law,Vol.75,No.2,1981,p.326.
(38)王晓丽著:《多边环境协定的遵守与实施机制研究》,武汉大学出版社,2013年版,第30页。
② “66/231.Oceans and the Law of the Sea”,United Nations General Assembly,April 5,2012,https://undocs.org/en/A/RES/66/231.
(1)“Earth Negotiations Bulletin IGC 1 Final”,International Institute for Sustainable Development,September 20,2018,http://enb.iisd.org/oceans/bbnj/igc1/.
(2)白佳玉、李玲玉:“北极海域视角下公海保护区发展态势与中国因应”,《太平洋学报》,2017年第4期,第26页。
(3)David Freestone,“International Governance,Responsibility and Management of Areas beyond National Jurisdiction”,The International Journal of Marine and Coastal Law,Vol.27,No.2,2012,p.197.
(4)Kristina M.Gjerde et al.,Regulatory and Governance Gaps in the International Regime for the Conservation and Sustainable Use of Marine Biodiversity in Areas beyond National Jurisdiction,IUCN,2008,pp.22-32.
(5)梁西著:《国际组织法》,武汉大学出版社,2001年版,第7页。
(6)Julien Rochette and Rapha?l Billé,“Bridging the Gap between Legal and Institutional Developments within Regional Seas Frameworks”,The International Journal of Marine and Coastal Law,Vol.28,No.3,2013,pp.433-463.
(7)Kristina Gjerde et al.,“Conservation and Sustainable Use of Marine Biodiversity in Areas Beyond National Jurisdiction:Options for Underpinning a Strong Global BBNJ Agreement through Regional and Sectoral Governance”,August 2018,https://www.prog-ocean.org/wp-content/uploads/2018/08/STRONG-High-Seas-Policy-Brief_Options-for-underpinning-BBNJ-agreement.pdf.
(8)“Memorandum of Understanding between the North East Atlantic Fisheries Commission (NEAFC) and the OSPAR Commission”,the OSPAR Commission,September 5,2008,https://www.ospar.org/site/assets/files/1357/mou_neafc_ospar.pdf.
(9)Kristina M.Gjerde and Anna Rulska-Domino,“Marine Protected Areas beyond National Jurisdiction:Some Practical Perspectives for Moving Ahead”,The International Journal of Marine and Coastal Law,Vol.27,No.2,2012,p.357.
(10)Stefan ásmundsson and Emily Corcoran,“The Process of Forming a Cooperative Mechanism Between NEAFC and OSPAR”,OSPAR Commission,April 2016,https://www.ospar.org/documents?v=35111.
(11)张磊:“走出开发与保护二元对立的定势——风险预防原则在深海资源开发领域的变通适用”,《探索与争鸣》,2018年第5期,第94页。
(12)“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”,United Nations General Assembly,July 31,2017,https://undocs.org/A/AC.287/2017/PC.4/2.
(13)[美]路易斯·B·宋恩等著,傅崐成译:《海洋法精要》,上海交通大学出版社,2014年版,第248页。
(14)“The World Conservation Union Resolution 17.38 of the 17th Session of the General Assembly of the IUCN”,International Union for Conservation of Nature,February 1988,https://portals.iucn.org/library/efiles/documents/GA-17th-011.pdf.
(15)值得注意的例外情形是,当区域组织在公海保护区内采取管理和养护跨界和洄游鱼类的措施时,可以对《鱼类种群协定》的缔约方产生间接的约束力。这是因为根据《鱼类种群协定》第8条第4款“有权捕捞公海特定区域中的渔业资源的国家仅限于主管区域渔业管理组织成员国,或者同意适用这种组织所订立的养护和管理措施的国家”的规定,《鱼类种群协定》的缔约方在捕捞上述鱼类时,必须以接受此类管理措施为前提条件。
(16)[意]安东尼奥·卡塞斯著,蔡从燕等译:《国际法》,法律出版社,2009年版,第208页。
(17)在第一次预委会期间,挪威呼吁关注依靠现有结构所带来的成本效益,例如海事组织、区域渔业管理组织和区域海洋组织,而不是建立新的机构;澳大利亚反对需要全球管理和审查的划区管理工具,或者重复现有机构的努力。“Earth Negotiations Bulletin PrepCom1 Final”,International Institute for Sustainable Development,April 11,2016,http://www.iisd.ca/oceans/bbnj/prepcom1/。在第二次预委会期间,冰岛告诫不要通过潜在的全球机构侵犯区域渔业管理组织的职能;国际大西洋金枪鱼养护委员会建议尊重区域渔业管理组织的职能,并告诫不要利用海洋保护区取代区域或部门机构的管理措施;“Negotiations Bulletin PrepCom2 Final”,International Institute for Sustainable Development,September 12,2016,http://www.iisd.ca/oceans/bbnj/prepcom2/。在第三次预委会期间,加拿大和俄罗斯联邦告诫不要采取全球方法和重复工作,而是更愿意按照《鱼类种群协定》的模式在区域或部门一级执行;日本警告不要损害国际海事组织和区域渔业管理组织等现有机构的职能;新西兰支持区域协调,质疑ILBI缔约方会议是否比区域和部门机构更好地了解所需采取何种措施;密克罗尼西亚联邦警告说全球决策可能会非常缓慢;“Earth Negotiations Bulletin PrepCom3 Final”,International Institute for Sustainable Development,April 10,2017,http://www.iisd.ca/oceans/bbnj/prepcom3/。在政府间会议期间,美国与俄罗斯的反对立场最具代表性,美国认为一个全球层面决策中心化的制度可能会重复并损害现有制度,俄罗斯则认为全球多数投票将使设立公海保护区的进程政治化。“Earth Negotiations Bulletin IGC 1 Final”,International Institute for Sustainable Development,September 20,2018,http://enb.iisd.org/oceans/bbnj/igc1/。一些学者认为区域方法比全球方法更容易采取合作性的行动,因为具有多样化利益冲突的利益攸关方会增加谈判的难度,而区域驱动的自下而上的方法可以促进沿海国家和其他利益攸关方更积极地参与,并支持共同开发和实施基于生态系统的管理制度。Julien Rochette et al,“The Regional Approach to the Conservation and Sustainable Use of Marine Biodiversity in Areas Beyond National Jurisdiction”,Marine Policy,Vol.49,No.15,2014,p.109。
(18)David Freestone,David Johnson,Jeff Ardron,Kate Killerlain Morrison and Sebastian Unger,“Can Existing Institutions Protect Biodiversity in Areas Beyond National Jurisdiction?Experiences From Two On-Going Processes”,Marine Policy,Vol.49,No.21,2014,p.174.
(19)同①,p.175。
(20)“Earth Negotiations Bulletin PrepCom3 Final”,International Institute for Sustainable Development,April 10,2017,http://www.iisd.ca/oceans/bbnj/prepcom3/.④ 根据联合国粮农组织渔业治理情况说明统计与整理,见:“Regional Fishery Bodies Fact Sheets”,Food and Agriculture Organization of the United Nations,http://www.fao.org/fishery/rfb/search/en,Access Time:Jan.27,2019。
(21)朱建庚著:《海洋环境保护的国际法》,中国政法大学出版社,2013年版,第146页。
(22)有学者将该两项原则纳入其总结的现代公海治理十大原则之中,并认为国际社会在一系列全球和区域文书以及许多国际法院和法庭的判决中普遍接受了这些原则。See David Freestone,“International Governance,Responsibility and Management of Areas beyond National Jurisdiction”,The International Journal of Marine and Coastal Law,Vol.27,No.2,2012,pp.191-204;David Freestone,“Modern Principles of High Seas Governance:The Legal Underpinnings”,Environmental Policy and Law,Vol.39,No.1,2009,pp.44-49.
(23)2004年,《生物多样性公约》第七次缔约方大会(COP7)提出了“到2010年实现10%全球海洋区域的有效管理”的目标,并于2006年编制了一套用于描述具有重要生态或生物意义的海洋区域(EBSAs)的科学标准。当前,描述具有生态或生物学意义的海洋区域(EBSAs)工作已经覆盖了全球279处具有重要生态或生物学意义的海洋区域,其中有71处位于国家管辖范围外,占到了总描述区域的21%,并且此项工作还在不断进行。“Earth Negotiations Bulletin PrepCom3 Final”,International Institute for Sustainable Development,April 10,2017,http://www.iisd.ca/oceans/bbnj/prepcom3/.
(24)“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”,United Nations General Assembly,July 31,2017,https://undocs.org/A/AC.287/2017/PC.4/2.
(25)Dire Tladi,“The Proposed Implementing Agreement:Options for Coherence and Consistency in the Establishment of Protected Areas beyond National Jurisdiction”,The International Journal of Marine and Coastal Law,Vol.30,No.4,2015,p.671.
(26)罗欢欣:“国家在国际造法进程中的角色和功能——以国际海洋法的形成和运作为例”,《法学研究》,2018年第4期,第56页。
(27)David Freestone,“Governance of Areas Beyond National Jurisdiction:An Unfinished Agenda?” in Jill Barrett and Richard Barnes,ed.,Law of the Sea:UNCLOS as a Living Treaty,British Institute of International and Comparative Law,2016,pp.231-265.
(28)Danielle Smith and Julia Jabour,“MPAs in ABNJ:Lessons from Two High Seas Regimes”,ICES Journal of Marine Science,Vol.75,No.1,2018,p.422.
(29)方银霞、尹洁、唐勇、李金蓉:“全球外大陆架划界进展与形势分析”,《中国海洋法学评论》,2016年第2期,第10页。
(30)David Freestone,“The Limits of Sectoral and Regional Efforts to Designate High Seas Marine Protected Areas”,American Journal of International Law Unbound,Vol.112,No.26,2018,p.133.
(31)Louis Henkin,How Nations Behave,Columbia University Press,1979,p.47.
(32)张晓:“国际海洋生态环境保护新视角:海洋保护区空间规划的功效”,《国外社会科学》,2016年第5期,第92页。
(33)Tundi Agardy,Giuseppe Notarbartolo di Sciara and Patrick Christie,“Mind the Gap:Addressing the Shortcomings of Marine Protected Areas through Large Scale Marine Spatial Planning”,Marine Policy,Vol.35,No.2,2011,pp.226-232.
(34)See North Sea Continental Shelf (Federal Republic of Germany/Netherlands),Judgment,I.C.J.Reports 1986,p.44,para.77.
(35)“国家管辖范围以外区域海洋生物多样性养护与可持续利用国际研讨会专家观点集萃”,中国海洋在线,2018年10月24日,http://www.oceanol.com/guoji/201810/24/c81980.html。
(36)同①。
(37)Barry Buzan,“Negotiating by Consensus:Developments in Technique at the United Nations Conference on the Law of the Sea”,American Journal of International Law,Vol.75,No.2,1981,p.326.
(38)王晓丽著:《多边环境协定的遵守与实施机制研究》,武汉大学出版社,2013年版,第30页。