深海战略性矿产资源开发的环境治理比较研究

    A comparative study of environmental governance for the development of deep-sea strategic mineral resources

    • 摘要: 在能源转型与海洋生态风险并存的背景下,深海多金属结核、多金属硫化物与富钴结壳作为战略性矿产资源的潜在来源,其环境治理已成为国际社会与各国政策的焦点。针对既有研究多停留在单一机制梳理或碎片化政策描述、缺乏系统性比较框架等局限,首先,构建“原则、规则、技术”三层分析框架,系统解构以《联合国海洋法公约》(UNCLOS)和国际海底管理局(ISA)为核心,联合国环境规划署(UNEP)、国际海事组织(IMO)、国际标准化组织(ISO)多边机制协同的国际治理架构及其内在逻辑与功能边界;其次,为厘清主要国家治理模式的演进规律,建立涵盖“战略逻辑取向、法治许可规制、行政权责架构、国际合同推进、科研监控支撑、透明参与机制”的六维分析框架,以“资源开发驱动力”与“风险前置约束力”为判别标准,将九个典型国家归纳为积极推进型(美国、日本、韩国、印度、俄罗斯)、审慎试验型(英国)和预防性暂停型(德国、法国、葡萄牙)三类典型路径。研究发现,国际层面通过多边机制耦合提升监管的可操作性,但在阈值可操作性与跨机制协调方面仍存在制度不确定性。国家路径虽在准入门槛与推进节奏上存在显著分野,但均贯穿“事前环境影响评估、过程性监测与信息披露、事后适时校正与制度调整”的共性治理逻辑。基于国际经验,中国应从细化强制性技术标准、提升环评透明度、衔接环境赔偿制度并强化长期基线调查与连续监测能力等方面完善深海治理体系。

       

      Abstract: Amid the concurrent pressures of energy transitions and marine ecological risks, polymetallic nodules, polymetallic sulfides, and cobalt-rich crusts are increasingly recognized as potential sources of strategic mineral resources. Their environmental governance has thus become a focal point in both international and national policymaking. To address the limitations of existing studies, which often remain confined to single-mechanism reviews or fragmented policy descriptions and lack a systematic comparative framework, this study first develops a three-level analytical framework—comprising principles, rules, and technology—to deconstruct the international governance architecture centered on UNCLOS and ISA, and supported by UNEP, IMO, and ISO. This framework clarifies the internal logic and functional boundaries of the current regime. Secondly, to elucidate the evolution of national governance models, it establishes a six-dimensional framework covering strategic orientation, legal and permitting regulations, administrative responsibility, international contract engagement, scientific monitoring support, and transparency and public participation mechanisms. Using resource development impetus and ex ante risk constraints as classification criteria, it groups nine representative countries into three policy pathways: proactive advancement, cautious piloting, and precautionary pause. The findings indicate that, at the international level, multilateral coupling improves regulatory operability, yet institutional uncertainties persist regarding threshold enforceability and cross-regime coordination. Although national approaches diverge markedly in access thresholds and implementation pace, they converge on a shared governance logic that integrates ex ante environmental impact assessment, process monitoring and information disclosure, and ex post adaptive correction and institutional adjustment. Based on these international comparisons, it recommends that China refines its mandatory technical standards, enhances EIA transparency, improves alignment between environmental liability and compensation regimes, and strengthens long-term baseline surveys and continuous monitoring capacity.

       

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