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A critical assessment of the International Seabed Authority’s implementation of the Common Heritage of Mankind principle from the perspective of benefit-sharing regime

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Abstract

The principle of Common Heritage of Mankind (CHM) is a fundamental principle for the international community to explore and exploit deep seabed mineral resources in areas beyond national jurisdiction. Many provisions in Part XI of the United Nations Convention on the Law of the Sea reflect this principle. As the international institution to implement the principle of CHM, the International Seabed Authority has the dual mandate of managing deep seabed resources and marine environmental protection. However, in the process of implementing the principle of Common Heritage of Mankind, there is a misalignment between reality and ideal as envisioned by the Convention. This article reflects on the relevant norms and practices of the International Seabed Authority (ISA) in implementing the CHM principle and presents a critical assessment of the development of the sharing mechanism through the ISA, focusing on benefit sharing and technology sharing. This article also proposes that information sharing and transparency is a procedure-reinforcing mechanism to promote benefit sharing and is especially important to the decision-making process of the ISA, which includes the promulgation of the rules, regulations and the approval of the plans of work submitted by the applicants. These decisions have practical significance and direct impacts on the development of the sharing mechanism for deep seabed resources.

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Notes

  1. Declaration of Principles Governing the Seabed and the Ocean Floor, and the Subsoil Thereof, beyond the Limits of National Jurisdiction, UN Doc A/RES/2749(XXV) (17 December 1970). 2749(XXV) (17 December 1970).

  2. Article 140(1) of the Convention.

  3. Article 137(1) of the Convention.

  4. Articles137(2), 153(1), 156–185 of the Convention.

  5. Articles 143(3)(b)(ii),144,148,Annex III Article 15 of the Convention; 1994 Implementation Agreement, Annex Sect. 5(1)(b). Article 144 (Transfer of technology) and Article 148 (Participation of developing States in activities in the Area) are interconnected in the sense that the former promotes the latter. The ISA shall take measures to encourage the transfer of relevant technology and scientific knowledge to developing states. Specific initiatives to that end should be undertaken and the ISA and its contractors must set up programs in order to provide training opportunities to personnel from the Enterprise and developing states. This institutional design is to give preferential treatment to developing states and promote their effective participation in the deep seabed mining. See also Report of the Chair of the Legal and Technical Commission on the work of the Commission at the first part of its twenty-sixth session (9 March 2020), ISA Doc. ISBA/26/C/12 (2020), paragraphs 4–7.

  6. Articles 163(1)(a), 164 of the Convention.

  7. Article 160(2)(f)(i)–(ii) of the Convention.

  8. ISBA/17/C/21 (21 July 2011), Statement of the President of the Council of the ISA on the work of the Council during the seventeenth session, paragraph 20, available at https://isa.org.jm/files/files/documents/isba-17c-21_0.pdf last visited 2023/3/1.

  9. ISBA/18/C/4 (25 April 2012), Workplan for the formulation of regulations for the exploitation of polymetallic nodules in the Area. Report of the Secretary-General, available at https://documents-dds-ny.un.org/doc/UNDOC/GEN/N12/319/51/PDF/N1231951.pdf?OpenElement last visited 2023/3/7.

  10. ISA, Developing a Regulatory Framework for Mineral Exploitation in the Area: Stakeholder Engagement (February 2014), available at http://www.isa.org.jm/files/documents/EN/Survey/ISA- SSurvey.pdf last visited 2020/2/10.

  11. ISBA/Cons/2015/1 (March 2015), available at https://isa.org.jm/files/centerbiodiversity.pdf last visited 2023/3/1.

  12. ISA, Developing a Regulatory Framework for deep sea Mineral Exploitation in the Area:

    Draft Framework, High Level Issues and Action Plan, Version II (15 July 2015), available at https://isa.org.jm/files/documents/EN/OffDocs/Rev_RegFramework_ActionPlan_14072015.pdf last visited 2020/2/25.

  13. ISA, Developing a Regulatory Framework for Mineral Exploitation in the Area: Report to Members of the Authority and All Stakeholders (July 2016).

  14. The three drafts of Exploitation Regulations are: ISBA/23/LTC/CPR.3* (8 August 2017); ISBA/24/LTC/WP.1/Rev.1 (9 July 2018); ISBA/25/C/WP.1 (22 March 2019).

  15. At the end of June 2021, Nauru requested the ISA Council to complete the adoption of the rules, regulations and procedures necessary to facilitate the approval of plans of work for exploitation in the Area within two years’ time, pursuant to Sect. 1(15) of the Annex to the 1994 Implementation Agreement.

  16. ISA Council, “Decision of the Council of the ISA Relating to an Application for Approval of a Plan of Work for Exploration for Polymetallic Nodules Submitted by Blue Minerals Jamaica Ltd” (10 December 2020) ISBA/26/C/27/Rev1; ISA Press Release, 'Blue Minerals Jamaica Limited and ISA Sign Exploration Contract for Polymetallic Nodules in the CCZ' (22 April 2021), ISA Council, ‘Decision of the Council of the ISA Relating to an Application for Approval of a Plan of Work for Exploration for Polymetallic Nodules Submitted by Blue Minerals Jamaica Ltd’ (10 December 2020) ISBA/26/C/27/Rev1; ISA Press Release, ‘Blue Minerals Jamaica Limited and ISA Sign Exploration Contract for Polymetallic Nodules in the CCZ’ (22 April 2021), available at https://www.isa.org.jm/news/blue-minerals-jamaica-limited-and-isa-sign-exploration-contract-polymetallic-nodules-ccz last visited 2023/3/1.

  17. Article 170(1) of the Convention.

  18. Section 2(1) of the Annex to the 1994 Implementation Agreement.

  19. ISBA/24/C/12, Considerations relating to a proposal by the Government of Poland for a possible joint venture operation with the Enterprise, available at https://isa.org.jm/files/files/documents/iba24c-12-en.pdf last visited 2023/3/1.

  20. Information Note concerning the Secretary-General’s informal consultation on outstanding issues relating to the deep seabed mining provisions of the UN Convention on the Law of the Sea, New York, 23 July 1991, paragraph.5, available at https://isa.org.jm/files/files/documents/sg-informconsultations-ae.pdf last visited 2023/3/1.

  21. Statement by Algeria on behalf of the African Group, Request for consideration by the Council of the African's Group's operationalization of the Enterprise, 6 July 2018, paras. 11 and 14, available at https://isa.org.jm/files/files/documents/alg-oboag-entp.pdf last visited 2023/3/1.

  22. Comments of the Government of the People’s Republic of China on the Draft Regulations on the Development of Mineral Resources in the Region, available at https://isa.org.jm/files/files/documents/Comments%20of%20China%20%28English%20Version%29.pdf last visited: 2023/3/1.

  23. Article 153 of the Convention, Articles 8 and 9 of Annex III.

  24. Regulations 16–20 of the Polymetallic Sulphides Regulations.

  25. ISBA/20/C/18 (9 July 2014), paragraph 13.

  26. Article 2, Section II of the Annex to the 1994 Implementation Agreement.

  27. UNGA First Committee (22nd Session) ‘Speech by Arvid Pardo’ (1 November 1967, 10.30 am) UN Doc A/C1/PV1515.

  28. Section 5(2) of the 1994 Implementation Agreement.

  29. ISA Capacity Development Strategy 2022, available at https://isa.org.jm/files/files/documents/ISA_Capacity_Development_Strategy_2022.pdf last visited 2023/3/1.

  30. ISBA/12/A/11, 16 August 2006, available at https://isa.org.jm/files/files/documents/isba12-a11_1.pdf last visited 2023/3/1. ISBA/13/A/6, 19 July 2007, available at https://documents-dds-ny.un.org/doc/UNDOC/GEN/N22/253/31/PDF/N2225331.pdf?OpenElement last visited 2023/3/7.

  31. ISA Strategic Plan 2019–2023, available at https://www.isa.org.jm/wp-content/uploads/2022/03/Strategic_Plan_Booklet.pdf last visited 2023/3/7.

  32. Draft Exploitation Regulations, Article 89.

  33. Convention on Access to Information, Public Participation in Decision-Making and Access to Justice in Environmental Matters (adopted 25 June 1998, UNTS 447 (Aarhus Convention); FSA, article 12; Rio Declaration, principle 10.

  34. Article 153 of the Convention.

  35. Regulation 11 of the Draft Exploitation Regulations.

Abbreviations

CCZ:

Clarion-Clipperton Zone

CHM:

Common Heritage of Mankind

ISA:

International Seabed Authority

LTC:

Legal and Technical Commission

UNCLOS:

United Nations Convention on the Law of the Sea

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  1. School of Law, Fudan University, Shanghai, China

    Hao Shen

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Shen, H. A critical assessment of the International Seabed Authority’s implementation of the Common Heritage of Mankind principle from the perspective of benefit-sharing regime. Int Environ Agreements 23, 355–371 (2023). https://doi.org/10.1007/s10784-023-09594-x

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