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随着科技进步,全球海洋资源开发利用更加多样和广泛,但也面临日益严峻的环境污染。这必然不利于建设“清洁美丽的世界”,给生物多样性和海洋命运共同体建设带来了严重的挑战。与海洋划界、遗传资源等热点相比,环境治理方面的研究相对薄弱。其中,环境影响评价(Environment Impact Assessment,EIA,以下简称环评)作为海洋环境治理的重要方案,在实践上充满不明确性,在理论研究上也明显滞后。由于缺乏具体的法律规则,《联合国海洋法公约》“环境评价”的相关条款(第204、第205、第206条)尚缺乏具体的措施。对此,国际社会就完善和实施海洋环评规则开展了长期的研究和谈判,包括有关海洋生物多样性养护和可持续利用问题( Biodiversity in area Beyond National Jurisdiction,BBNJ)新协定①,至今未能达成一致。海洋污染作为非传统安全问题,也凸显在各种区域性国际法律议程之中。
国际法院(International Court of Jurisdiction, ICJ)的判例表明,跨境环评的地位和意义逐步得到国际法理论与实践的认可。海底争端分庭曾认定,国际法院的具体裁决限于跨界环境影响,但其推理也可运用于国家管辖范围外海域的活动;所谓“共同资源”(shared resources)亦可涵盖属于“人类共同继承财产”(common heritage of mankind)的资源[1]。作为国内法一项普遍的环境法制度,环评如何具体运用到“全球公域”(global commons),或者只需简单地移植?
The Development Logic of Environmental Impact Assessment System for the Areas beyond National Jurisdiction
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摘要:国际法确立了有关跨境环评的程序性义务,但由各国参照“国际软法”来执行实体性标准。《海洋法公约》有关国家管辖范围外海域(Areas Beyond National Jurisdiction,ABNJ)生物多样性保护和可持续利用新协定环评条款的制定仍应坚持这种基于程序主义的软法规制模式;在国际法框架下开展针对ABNJ的环评,应由国内法主导国际法规范的具体实施,且国家享有自主决策权。这种“国家主导、国家自主决策”的跨界主义方法,可扩展为国内法基于“影响导向”的域外适用;鉴于区域性海洋环评规则与全球性机制的互动关系,中国可积极推动ABNJ环评规则的渐进式发展,并逐步将环评嵌入周边区域性海洋谈判之中。Abstract:The procedural obligations of environmental impact assessment (EIA) have been established in international law, while the substantive standards are mainly implemented by states referring to international “soft law”. The formulation of the relevant provisions of the coming agreement on the biodiversity in the areas beyond the jurisdiction of states (ABNJ) under the UNCLOS should adhere to the ‘soft regulation mode’ based on the principle of proceduralism; And the EIA of ABNJ should be carried out under the guidance of domestic law and with reference to international norms, while the member states enjoy the independent decision-making power. This “transnationalism” approach, which states dominate the implementation and make decisions independently, can be embodied in the extraterritorial application of domestic law based on “impact oriented”; As the interaction between regional marine EIA rules and global mechanism will have a certain impact on the future ABNJ system, China could actively promote the new BBNJ agreement and gradually embed the EIA in regional maritime negotiations.
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Key words:
- international law/
- environmental impact assessment/
- ABNJ
注释:1) 2015年联大决议确认在该公约下就国家管辖范围外区域生物多样性保护(BBNJ)缔结一项新协定,并要求研究包括“环境影响评价”在内的议题。2021年初,第四届联合国海洋法大会又将展开讨论。2) 京都议定书第13条要求缔约方会议“评估缔约方履行本议定书的情况及根据本议定书采取的措施的总体影响,尤其是环境、经济、社会的影响及其累积的影响”。3) 国际法院在“核武器咨询案”中发表意见“… the principle of prevention, as a customary rule, has its origins in the due diligence that is required of a State in its territory.” Legality of the Threat or Use of Nuclear Weapons, Advisory Opinion, I.C.J. Reports 1996 (I), p. 242, para. 29。4) 这7项包括:(1)筛选(screening);(2)范围确定(scoping);(3)评价和评价(assessment and evaluation);(4)报告(reporting);(5)审查说明(review of EIS);(6)决策(decision making);(7)监督、遵守、执行和环境审计。5) 特别是,“矿山以外的海底活动(例如电缆和管道,海底设施,海洋科学研究,生物勘探,海上旅游)不存在这些要求;除倾倒和一些捕鱼以外的公海活动(例如航运,海洋科学研究,浮动设施(如波浪,核能,二氧化碳混合器));高的影响沿海国家外大陆架上的海上捕鱼活动(例如深海捕鱼对海岸带的影响)定居物种和资源,脆弱的底栖生态系统);外陆大陆架活动对公海的影响(如地震试验噪音);军事活动;海洋的新的或新兴的用途”。6) 包括初始评价和环境评价两个方面。其中,为通过初始评价和环境评价,拟议活动必须具有“适当的科学特性,包括履行接受“同行评审”等一系列严格标准。国家海底管理局“Polymetallic Nodules Regulations”等也确立了环境评价的义务。7) 具体包括:(1)依据国籍原则,船旗国对其从事极地或海洋资源开发的公司的管辖;(2)保护性管辖,如一国对危及其领海或专属经济区的污染事故行使管辖;(3)普遍性管辖权,如损害人类基本生存环境的严重污染行为的管辖;(4) 被害人国籍原则。8) 中国石油天然气集团为主建设的中缅油气管道项目,就通过招标请泰国IEM公司对项目进行了环评。9) 包括2016年全国人大常委会先后通过的《深海海底区域资源勘探开发法》和修订的《海洋环境保护法》;为此,国家海洋局颁布实施了一系列的配套法规,包括《南极考察活动环评管理规定》和《北极考察活动行政许可管理规定》。这些文件均涉及到中国管辖范围内海域与极地等国家管辖外海域。10) 与南北极的立法相比,中国在深海采矿上雄心勃勃,以增强作为全球金属供应国的主导地位,但尚未通过立法明确深海采矿环评的具体程序。这与深海采矿在商业上和科学不存在巨大不确定性有关。11) 1993年《北美自由贸易协定》之《环境合作附属协议》及1991年《美国—加拿大空气质量协议》均确立了跨界环境影响评价原则。12) 基于"适用于当事国间关系之任何有关国际法规则",包括条约和习惯国际法,以及条约之“目的和宗旨来解释”。WTO上诉机构认为,“可用竭自然资源”这一术语不能仅限于非生物资源,而应被解释为包括海龟在内的生物资源;国际法院在有关“商业”这一术语是否包括“乘客运输”的问题上,也采用了演化解释的路径。13) Article 17 para. 3 of the Tehran Convention requests Contracting Parties to “co-operate in the development of protocols that determine procedures of environmental impact assessment of the marine environment of the Caspian Sea in transboundary context”。14) 根据《南极条约》之《环境保护议定书》,当一项拟议活动可能至多只有轻微或短暂的影响时,船旗国是最终的决策权威。15) 1995年,中国、蒙古、朝鲜、韩国和俄罗斯在纽约签署了该备忘录。其第1. 2条规定:缔约各方将进行联合(定期更新)区域环境分析,对经反复研究的整体地区发展规划在当地、国家、区域以至全球的环境影响进行评价,并联合制定区域环境调节与管理计划,以防止调节对环境的危害,基于区域环境分析及其他相关数据促进环境的改善。 -
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