ISA TECHNICAL STUDY NO. 25

Competencies of the International

Seabed Authority and

the International Maritime

Organization in the context of

activities in the Area

ISA TECHNICAL STUDY NO. 25

Competencies of the International Seabed Authority and

the International Maritime Organization in the context of



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ISA TECHNICAL STUDY SERIESTechnical Study No. 24 Deep Seabed Mining and Submarine Cables: Developing Practical Options for the

Implementation of the ‘Due Regard’ and ‘Reasonable Regard’ Obligations under UNCLOS

Technical Study No. 23 Towards the Development of a Regional Environmental Management Plan for Cobalt-Rich Ferromanganese Crusts in the Northwest Pacific Ocean

Technical Study No. 22 Developing a Framework for Regional Environmental Management Plans for Polymetallic Sulphide Deposits On Mid-Ocean Ridges

Technical Study No. 21 The Design of “Impact Reference Zones” and “Preservation Reference Zones” in Deep-Sea Mining Contract Areas

Technical Study No. 20 Marine Mineral Resources of Africa’s Continental Shelf and Adjacent International Seabed Area

Technical Study No. 19 Polymetallic Nodules Resource Classification

Technical Study No. 18 EcoDeep-SIP Workshop II

Technical Study No. 17 Towards an ISA Environmental Management Strategy for the Area

Technical Study No. 16 Environmental Assessment and Management for Exploitation of Minerals in the Area

Technical Study No. 15 A Study of Key terms in Article 82 of the United Nations Convention on the Law of the Sea

Technical Study No. 14 Submarine Cables and Deep Seabed Mining

Technical Study No. 13 Deep Sea Macrofauna of the Clarion-Clipperton Zone

Technical Study No. 12 Implementation of Article 82 of the United Nations Convention on the Law of the Sea

Technical Study No. 11 Towards the Development of a Regulatory Framework for Polymetallic Nodule Exploitation in the Area.

Technical Study No. 10 Environmental Management Needs for Exploration and Exploitation of Deep Sea Minerals

Technical Study No. 9 Environmental Management of Deep-Sea Chemosynthetic Ecosystems: Justification of and Considerations for a Spatially-Based Approach

Technical Study No. 8 Fauna of Cobalt-Rich Ferromanganese Crust Seamounts

Technical Study No. 7 Marine Benthic Nematode Molecular Protocol Handbook (Nematode Barcoding)

Technical Study No. 6 A Geological Model of Polymetallic Nodule Deposits in the Clarion-Clipperton Fracture Zone

Technical Study No. 5 Non-Living Resources of the Continental Shelf Beyond 200 Nautical Miles: Speculations on the Implementation of Article 82 of the United Nations Convention on the Law of the Sea

Technical Study No. 4 Issues associated with the Implementation of Article 82 of the United Nations Convention on the Law of the Sea

Technical Study No. 3 Biodiversity, Species Ranges and Gene Flow in the Abyssal Pacific Nodule Province: Predicting and Managing the Impacts of Deep Seabed Mining

Technical Study No. 2 Polymetallic Massive Sulphides and Cobalt-Rich Ferromanganese Crusts: Status and Prospects


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Competencies of the International Seabed Authority and

the International Maritime Organization in the context of


ISA TECHNICAL STUDY NO: 25

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NATIONAL LIBRARY OF JAMAICA CATALOGUING-IN-PUBLICATION DATA

International Seabed Authority; International Maritime OrganizationCompetence of the International Seabed Authority and the International Maritime Organization in the context of activities in the Area / prepared by International Seabed Authority and International Maritime Organization. Description: Kingston : International Seabed Authority, 2019.| Technical study, no. 25.

ISBN 9789768241719 (pbk)ISBN 9789768241726 (ebk)

1. International Seabed Authority 2. International Maritime Authority3. Law of the Sea 4. Marine Service 5. Ocean mining - Law and legislation6. Shipping – Law and legislation.

341.45 dc23

Copyright © International Seabed Authority 2021 International Seabed Authority14-20 Port Royal StreetKingston, JamaicaTel: +1 876 922-9105Website: www.isa.org.jm

The designations employed, as well as the content and the presentations of material in this publication do not imply the expression of any opinion whatsoever on the part of the Secretariat of the International Seabed Authority, including, inter alia, concerning the legal status of any country or territory or of its authorities; or concerning the delimitation of its frontiers or maritime boundaries.

All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying or otherwise, without the prior permission of the copyright owner. Application for such permission, with a statement of purpose and the extent of the reproduction, should be addressed to the International Seabed Authority, 14-20 Port Royal Street, Kingston, Jamaica.


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CONTENTS

EXECUTIVE SUMMARY ACRONYMS AND ABBREVIATIONS1. INTRODUCTION 2. METHODOLOGICAL CONSIDERATIONS

2.1 Sources 2.2 Relationships between instruments 2.3 The notion of ‘competent international organization’ 2.4 The notion of ‘activities in the Area’

2.4.1 Functions of the term 2.4.2 Meaning of the term

2.5 The notion of ‘interface’ of competencies with respect to activities in the Area

3. MANDATE OF THE INTERNATIONAL SEABED AUTHORITY 4. MANDATE OF THE INTERNATIONAL MARITIME ORGANIZATION 5. INTERFACE OF COMPETENCIES AND DIVISION OF RESPONSIBILITIES

5.1 General considerations 5.2 Maritime safety

5.2.1 Promotion of human safety in the Area 5.2.2 Navigation safety 5.2.3 Maritime security

5.3 Marine environment protection 5.3.1 Operational vessel-source pollution 5.3.2 Antifouling systems 5.3.3 Ballast waters 5.3.4 Dumping/disposal of wastes

5.4 Seafarer training standards 5.5 Accommodation of activities in the Area 5.6 Liability and compensation for pollution of the marine environment

6. FINDINGS, ISSUES AND FURTHER RESEARCH NEEDED 6.1 Findings and issues 6.2 Further research needed

7. CONCLUSION ANNEX 1: ACTIVITIES IN THE AREA ANNEX 2: RULES OF REFERENCE TO IMO’S REGULATORY COMPETENCIES UNDER UNCLOS ANNEX 3: INTERFACE OF COMPETENCIES OF ISA AND IMO WITH RESPECT TO ACTIVITIES IN THE AREA

457991213141414

17202429292929343537373940404243

455050535557

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EXECUTIVE SUMMARYThis report studies the interface of competencies of the International Seabed Authority (ISA) and the International Maritime Organization (IMO) with respect to activities in the international seabed area (the Area). The study is undertaken within the context of Part XI of the United Nations Convention on the Law of the Sea (UNCLOS), 1982 the Part XI Implementation Agreement, 1994 and the Seabed Disputes Chamber’s Advisory Opinion on Responsibilities and Obligations of States with respect to Activities in the Area, 2011. The report has been prepared against the backdrop of the agreement on cooperation concluded between ISA and IMO in 2016.

Under UNCLOS, ISA is the competent international organization with respect to the regime of the Area and IMO is the competent international organization for international shipping and navigation. The report explains the mandates of ISA and IMO with respect to the regulation of seabed mining in the Area and international shipping. Shipping will provide a platform for mining and transportation of extracted minerals to markets. Several specific areas of interface are identified and discussed and include maritime safety (human safety and navigation safety), marine environment protection (operational vessel-source pollution, anti-fouling systems, ballast waters, dumping or disposal of wastes), seafarer training standards, accommodation of activities in the Area, and the development of responsibility and liability regimes. The report discusses relevant provisions of UNCLOS, the 1994 Agreement, mining exploration regulations

and draft exploitation regulations in connection with pertinent international maritime conventions and codes. It sets out findings, identifies issues and flags issues that require further research.

The report concludes that the competencies of ISA and IMO with respect to the regulation of activities in the Area and the regulation of related shipping are highly complementary. The Advisory Opinion has helped identify the contours of seabed mining regulation. ISA exploration and draft exploitation regulations have benefitted from referential incorporation of maritime regulation as needed to enhance safety and pollution prevention. It is possible there could be occasional regulatory overlaps, despite the generally clear allocation of competencies by the instruments concerned and the Advisory Opinion. ISA and IMO have the agreement on cooperation as a useful framework to consult on a periodical basis and address overlaps on a case-by-case basis as needed.

IMO has a range of regulatory and area-based management tools developed for international shipping that could be useful to enhance the safety of seabed mining. Further, IMO has extensive regulatory experience that could be useful to ISA as it continues to develop new regimes, regulations and guidelines for seabed mining. These include guidelines for the assessment and disposal of wastes and civil liability and compensation schemes for pollution damage to the marine environment developed under various maritime law conventions.

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ACRONYMS AND ABBREVIATIONS

AFS Convention International Convention on the Control of Harmful Antifouling SystemsArea (the) International seabed areaBunker Convention International Convention on Civil Liability for Bunker Oil Pollution DamageBWM Code Ballast Water Management CodeBWM Convention International Convention for the Control and Management of Ships’ Ballast Water and Sediments CHM Common heritage of mankindCLC Convention International Convention on Civil Liability for Oil Pollution DamageCobalt Regulations Regulations on Prospecting and Exploration for Cobalt-Rich CrustsCOLREGS Convention on the International Regulations for Preventing Collisions at SeaDOALOS Division for Ocean Affairs and the Law of the Sea (UN)Draft Exploitation Draft Regulations on Exploitation of Mineral Resources in the AreaRegulations FPSO Floating Production Storage and OffloadingFSU Floating storage unitHNS Convention International Convention on Liability and Compensation & Protocol for Damage in Connection with the Carriage of Hazardous and Noxious Substances by Sea, 1996 as amended by Protocol of 2010 to Amend the International Convention on Liability and Compensation for Damage in connection with the Carriage of Hazardous and Noxious Substances by Sea, 1996IAEA International Atomic Energy AgencyILO International Labour OrganizationIMO International Maritime OrganizationIOPC Funds International Convention on the Establishment of an Convention International Fund for Compensation for Oil Pollution DamageIOPC Supplemntary Protocol of 2003 to the International Convention on the Fund Establishment of an International Fund for Compensation for Oil Pollution Damage, 1992 ISA International Seabed AuthorityISM Code International Management Code for the Safe Operation of Ships and for Pollution Prevention (International Safety Management Code)ITLOS International Tribunal for the Law of the SeaLL Convention International Convention on Load Lines

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LLMC Convention on Limitation of Liability for Maritime ClaimsLondon Convention Convention on the Prevention of Marine Pollution by Dumping of Wastes and Other MatterLondon Protocol Protocol to the Convention on the Prevention of Marine Pollution by Dumping of Wastes and Other MatterLTC Legal and Technical CommissionUNCLOS United Nations Convention on the Law of the SeaMARPOL International Convention for the Prevention of Pollution from ShipsMLC Maritime Labour ConventionMODU Mobile offshore drilling unitMODU Code Code for the Construction and Equipment of Mobile Offshore Drilling UnitsNodules Regulations Regulations on Prospecting and Exploration for Polymetallic Nodules in the AreaOSV Offshore supply vesselOSV Code Code of Safe Practice for the Carriage of Cargoes and Persons by Offshore Supply VesselsSAR Search and rescueSAR Convention International Convention on Maritime Search and RescueSOLAS International Convention for the Safety of Life at SeaSPS Code Code of Safety for Special Purpose ShipsSulphides Regulations on Prospecting and Exploration of Polymetallic Regulations Sulphides in the AreaSTCW Code Seafarers’ Training, Certification and Watchkeeping CodeSTCW Convention International Convention on Standards of Training, Certification and Watchkeeping for SeafarersSUA Convention Convention for the Suppression of Unlawful Acts Against the Safety of Maritime Navigation as amended by the 1988 Protocol of 2005 to the Convention for the Suppression of Unlawful Acts Against the Safety of Maritime NavigationSUA Protocol Protocol for the Suppression of Unlawful Acts Against the Safety of Fixed Platforms Located on the Continental Shelf as amended by the 2005 Protocol for the Suppression of Unlawful Acts Against the Safety of Fixed Platforms Located on the Continental Shelf

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I. INTRODUCTIONThis report was commissioned by ISA in collaboration with IMO to assist the identification of the scope of the respective competencies of ISA and IMO in the context of activities in the international seabed area (Area), as set out in Part XI of the United Nations Convention on the Law of the Sea, 1982 (UNCLOS),1 the Agreement relating to the Implementation of Part XI of UNCLOS (1994 Agreement)2 and the International Tribunal for the Law of the Sea (ITLOS) Seabed Disputes Chamber’s Advisory Opinion on Responsibilities and Obligations of States with respect to activities in the Area (Seabed Advisory Opinion).3 Professor Aldo Chircop of Dalhousie University was engaged in the preparation of this report.

The Area consists of ‘the seabed and ocean floor and subsoil thereof, beyond the limits of national jurisdiction’.4 The Area and its non-living resources are the common heritage of mankind.5 The ISA is the competent international organization with respect to the regulation of activities in the Area and IMO is the competent international organization on the regulation of international shipping.

Pursuant to their agreement on cooperation,6 ISA and IMO agreed to exchange information on best practices and explore issues connected to the scope of the competence and activities of each organization to facilitate the ongoing development and implementation of the regulatory framework of activities in the Area. The two organizations consider it useful to identify the scope of their competencies based on the notion of ‘activities in the Area’. Technical teams of the two organizations convened in a first meeting in June 2018 to exchange views and thought it would be useful to work on the development of a matrix identifying and describing their respective competencies under UNCLOS and other instruments.

This report explores and explains the interface of ISA’s and IMO’s competencies with respect to activities in the Area. Following this introduction, the report sets out methodological considerations including sources, relationships between instruments, the notion of ‘competent international organization’, the notion of ‘activities in the Area’, and the notion of

1 United Nations Convention on the Law of the Sea, adopted 10 December 1982 (entered into force 16 November 1994) 1833 UNTS 3 (UNCLOS).2 General Assembly resolution 48/263 and the Agreement relating to the implementation of Part XI of the United Nations Convention on the Law of the Sea of 10 December 1982, adopted 28 July 1994 (entered into force 16 November 1994) 1836 UNTS 3 (Implementation Agreement).3 Responsibilities and Obligations of States with respect to Activities in the Area, Advisory Opinion, 1 February 2011, ITLOS Reports 2011, 10 (Seabed Advisory Opinion), para 57.4 UNCLOS (n 1) art 1(1)(1).5 Ibid art 136.6 Agreement of Cooperation between the International Maritime Organization (IMO) and the International Seabed Authority (ISA), signed 23 February and 1 March 2016, online: <https://ran-s3.s3.amazonaws.com/isa.org.jm/s3fs-public/documents/EN/Regs/IMO.pdf> (IMO-ISA Agreement).

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‘interface of competencies with respect to activities in the Area.’ This is followed by descriptions of the mandates of ISA and IMO with respect to activities in the Area and related supporting activities. The report next explores the areas of interface of the respective competencies and division of responsibilities of the two organizations with respect to activities in the Area, focusing on maritime safety (human safety, navigation safety and maritime security), marine environment protection (operational vessel-source pollution, anti-fouling systems, ballast waters, dumping/disposal of wastes), seafarer training standards, accommodation of activities in the Area, and the development of responsibility and liability regimes.

Maritime security concerns are addressed only briefly and will require future in-depth studies. The findings, issues and matters for further research are summarized before the report concludes. The report includes three annexes to provide supplementary details to the report’s text. Annex I sets out the Seabed Advisory Opinion’s understanding of the notion of activities in the Area. Annex II describes the principal UNCLOS provisions where IMO appears to be implicitly assigned competencies with respect to the regulation of international shipping through the use of rules of reference. Annex III lists the principal UNCLOS provisions pertinent to ISA’s regulatory competence and possible interface with IMO regulatory competence.

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2. METHODOLOGICAL CONSIDERATIONS

7 1994 Agreement (n 2), art 2(1).8 Vienna Convention on the Law of Treaties, adopted 23v May 1969 (entered into force 27 January 1980) 1155 UNTS 331, arts 31-33. The International Tribunal for the Law of the Sea (ITLOS) has invariably, implicitly and explicitly applied the Vienna Convention’s rules of interpretation. Seabed Advisory Opinion (n 3) para 57. See also “Volga” (Russian Federation v. Australia), Prompt Release, Judgment, ITLOS Reports 2002, p. 10, para 77.9 Seabed Advisory Opinion (n 3).10 Regulations on Prospecting and Exploration for Polymetallic Nodules in the Area adopted 13 July 2000 and updated and adopted 25 July 2013, online: <https://ran-s3.s3.amazonaws.com/isa.org.jm/s3fs-public/files/documents/isba-19c-17_0.pdf> (Nodules Regulations).11 Regulations on Prospecting and Exploration for Polymetallic Sulphides in the Area adopted 7 May 2010, online: <https://ran-s3.s3.amazonaws.com/isa.org.jm/s3fs-public/files/documents/isba-16a-12rev1_0.pdf> (Sulphides Regulations).12 Regulations on Prospecting and Exploration for Cobalt-Rich Crusts adopted 27 July 2012, online: <https://ran-s3.s3.amazonaws.com/isa.org.jm/s3fs-public/files/documents/isba-18a-11_0.pdf> (Cobalt Regulations).13 Draft Regulations on Exploitation of Mineral Resources in the Area, Prepared by the Legal and Technical Commission, ISBA/25/C/WP.1, Unedited Advance Text (25 March 2019), online: <https://ran-s3.s3.amazonaws.com/isa.org.jm/s3fs-public/files/documents/25c-wp1-en-advance.pdf> (Draft Exploitation Regulations).

2.1 Sources

The principal sources of this report are treaty instruments, namely UNCLOS, the 1994 Agreement and international mari-time conventions. The provisions of UN-CLOS and the 1994 Agreement are inter-preted and applied together as a single instrument while bearing in mind that in the event of any inconsistency between the two instruments, the 1994 Agreement prevails.7 Where treaty interpretation is re-quired, the report is generally guided by the Vienna Convention on the Law of Trea-ties, 19698 and international cases and ar-bitration awards as appropriate. In particu-lar, the Seabed Advisory Opinion provides valuable guidance on the interpretation of ‘activities in the Area.’9 The report is further guided by ISA’s regulations as adopted chronologically:

• Regulations on Prospecting and Exploration for Polymetallic No-dules in the Area adopted 13 July 2000 and updated and adopted 25 July 2013 (Nodules Regula-tions);10

• Regulations on Prospecting and Exploration for Polymetallic Sul-phides in the Area adopted 7 May 2010 (Sulphides Regula-tions);11 and

• Regulations on Prospecting and Exploration for Cobalt-Rich Crusts adopted 27 July 2012 (Cobalt Regulations).13

The most recent version of the draft regulations on exploitation of mineral resources in the Area (Draft exploitation regulations) was also consulted. It is expected that ISA will finalize and adopt these regulations by 2020. The ITLOS has

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Safety of Life at Sea, 1974 (SO-LAS);19

• International Convention on Ma-ritime Search and Rescue, 1979 (SAR Convention);20 and

• Convention for the Suppression of Unlawful Acts Against the Safety of Maritime Navigation, 1988 as amended by Protocol of 2005 to the Convention for the Suppression of Unlawful Acts Against the Safety of Maritime Navigation (SUA Convention);21 Protocol for the Suppression of Unlawful Acts Against the Safe-ty of Fixed Platforms Located on the Continental Shelf, 1988 as amended by Protocol of 2005 to the Protocol for the Suppression of Unlawful Acts against the Safe-ty of Fixed Platforms Located on the Continental Shelf, 2005 (SUA Protocol).22

(c) Pollution prevention

• Convention on the Prevention of Marine Pollution by Dumping of Wastes and Other Matter, 1972

applied the Vienna Convention’s rules of interpretation by analogy to guide its interpretation of ISA’s mandatory regulations on prospecting and exploration of minerals.14 The ITLOS statute provides for the tribunal to apply, in addition to the provisions in Article 293, inter alia ‘the rules, regulations and procedures of ISA adopted in accordance with UNCLOS.’15 Other official ISA sources are consulted as needed.

The principal international maritime conventions consulted are presented below by type and in chronological order of adoption:

(a) Constitutive

• Convention on the Internatio-nal Maritime Organization, 1948 (IMO Convention).16

(b) Maritime safety and security

• International Convention on Load Lines, 1966 (LL Convention);17

• Convention on the International Regulations for Preventing Colli-sions at Sea, 1972 (COLREGS);18

• International Convention for the

14 Seabed Advisory Opinion (n 3) para 60.15 UNCLOS (n 1) annex VI, art 38.16 Convention on the International Maritime Organization, adopted 6 March 1948 (entered into force 17 March 1958) 289 UNTS 3, as amended (IMO Convention).17 International Convention on Load Lines, adopted 5 April 1966 (entered into force 21 July 1968) 640 UNTS 133, as amended (LL Convention). 18 Convention on the International Regulations for Preventing Collisions at Sea, adopted 20 October 1972 (entered into force 15 July 1977) 1050 UNTS 16, as amended (COLREGS).19 International Convention for the Safety of Life at Sea, adopted 1 November 1974 (entered into force 25 May 1980) 1184 UNTS 2 (SOLAS). 20 International Convention on Maritime Search and Rescue, adopted 27 April 1979 (entered into force 22 June 1985) 1405 UNTS 97 (SAR Convention). 21 Convention for the Suppression of Unlawful Acts Against the Safety of Maritime Navigation, adopted 10 March 1988 (entered into force 1 March 1992) 1678 UNTS 201, as amended by Protocol for the Suppression of Unlawful Acts Against the Safety of Fixed Platforms Located on the Continental Shelf, adopted 10 March 1988 (in force 1 March 1992), 1678 UNTS 201 (SUA 1988 Protocol) (SUA Convention).22 Protocol of 2005 to the Convention for the Suppression of Unlawful Acts Against the Safety of Maritime Navigation, adopted 14 October 2005 (entered into force 28 July 2010), IMO Doc LEG/CONF 15/21 (1 November 2005), as amended by Protocol for the Suppression of Unlawful Acts Against the Safety of Fixed Platforms Located on the Continental Shelf, adopted 14 October 2005 (in force 28 July 2010) IMO Doc LEG/CONF 15/22 (1 November 2005). (SUA Protocol).


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(London Convention)23 and Pro-tocol to the Convention on the Prevention of Marine Pollution by Dumping Wastes and Other Mat-ter, 1996 (London Protocol);24

• International Convention for the Prevention of Pollution from Ships, 1973/78 (MARPOL);25

• International Convention on the Control of Harmful Antifouling Systems, 2001, (AFS Conven-tion);26

• International Convention for the Control and Management of Ships’ Ballast Water and Sedi-ments, 2004 (BWM Convention); and27

• Hong Kong International Con-vention for the Safe and Envi-ronmentally Sound Recycling of Ships, 2009 (Hong Kong Conven-tion).28

23 Convention on the Prevention of Marine Pollution by Dumping of Wastes and Other Matter, adopted 29 December 1972 (entered into force 30 August 1975) 1046 UNTS 120, as amended (London Convention). 24 Protocol to the Convention on the Prevention of Marine Pollution by Dumping Wastes and Other Matter, adopted 7 November 1996 (entered into force 24 March 2006), (1997) 36 ILM 1, as amended (London Protocol). The London Protocol replaced the London Convention for States Parties to both instruments.25 International Convention for the Prevention of Pollution from Ships, adopted 2 November 1973 (not in force), 1340 UNTS 184 as amended by the Protocol of 1978 relating to the International Convention for the Prevention of Pollution from Ships of 1973, adopted 17 February 1978 (entered into force 2 October 1983) 1340 UNTS 61, and the Protocol of 1997 to amend the International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978, adopted 26 September 1997 (entered into force 19 May 2005), Can TS 2010 No 14 (MARPOL).26 International Convention on the Control of Harmful Anti-fouling Systems, adopted 5 October 2001 (entered into force in force 17 September 2008) Can TS 2010 No 15, as amended (AFS Convention).27 International Convention for the Control and Management of Ships’ Ballast Water and Sediments, adopted 13 February 2004 (entered into force 8 September 2017), IMO Doc BWM/CONF/36 (16 February 2004), as amended (BWM Convention).28 Hong Kong International Convention for the Safe and Environmentally Sound Recycling of Ships, adopted 15 May 2009 (not yet in force) IMO Doc SR/CONF/45 (19 May 2009) (Hong Kong Convention). 29 International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, adopted 7 July 1978 (entered into force 28 April 1984) 1361 UNTS 2 as amended (STCW Convention).30 Convention on Limitation of Liability for Maritime Claims, adopted 19 November 1976 (in force 1 December 1986) 1456 UNTS 221 as amended by Protocol of 1996 to Amend the Convention on Limitation of Liability for Maritime Claims, 1976, adopted 2 May 1996 (entered into force 13 May 2004) Can TS 2008 No 18 (LLMC).31 International Convention on Civil Liability for Oil Pollution Damage, adopted 29 November 1969 (entered into force 19 June 1975) 973 UNTS 3, as amended by Protocol to Amend the International Convention on Civil Liability for Oil Pollution Damage, 1969, adopted 27 November 1992 (entered into force 30 May 1996) 1956 UNTS 255 (CLC Convention).32 International Convention on the Establishment of an International Fund for Compensation for Oil Pollution Damage, adopted 18 December 1971, entered into force 16 October 1978) 1110 UNTS 57, as amended by the Protocol of 1992 to Amend the International Convention on the Establishment of an International Fund for Compensation for Oil Pollution Damage, 1971, adopted 27 November 1992 (entered into force 30 May 1996) 1953 UNTS 330 (IOPC Funds Convention).

(d) Seafarer training

• International Convention on Standards of Training, Certifica-tion and Watchkeeping for Seafa-rers, 1978 (STCW Convention).29

(e) Civil liability and compensation

• Convention on Limitation of Liability for Maritime Claims, 1976 (LLMC);30

• International Convention on Civil Liability for Oil Pollution Damage, 1992 (CLC Convention);31

• International Convention on the Establishment of an International Fund for Compensation for Oil Pollution Damage, 1992 (IOPC Funds Convention);32 Protocol of 2003 to the International Convention on the Establishment of an International

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Fund for Compensation for Oil Pollution Damage, 199233 (IOPC Supplementary Fund);

• International Convention on Liability and Compensation for Damage in Connection with the Carriage of Hazardous and Noxious Substances by Sea, 1996 and Protocol of 2010 (HNS Convention and Protocol);34 and

• International Convention on Civil Liability for Bunker Oil Pollution Damage, 2001 (Bunker Convention).35

Other IMO conventions, subsidiary instruments and additional official sources are consulted as appropriate. Consideration of selected IMO regulatory codes is tentative at this stage. The application of IMO codes to ships supporting activities in the Area will ultimately depend on the actual classes of ships deployed and their operations and at which time in-depth consideration of pertinent codes will likely be necessary.

2.2 Relationships between instruments

The Vienna Convention provides that ‘as between treaties, the later treaty will prevail to the extent of any incompatibility, unless either treaty specifies that it is subject to the other, in which case the intent of the parties will prevail.’36 However, chronology alone is not sufficient to

determine the relationship of UNCLOS to other instruments. UNCLOS has several important provisions outside Part XI governing the relationship between it and other international agreements, instruments and practices which may have a bearing on identifying and understanding issue areas of interface between the competencies of ISA and IMO.

Article 197 of UNCLOS includes an obligation for States Parties to cooperate on a global basis ‘directly or through competent international organizations, in formulating and elaborating international rules, standards and recommended practices and procedures consistent with this Convention, for the protection and preservation of the marine environment.’ This obligation has been pursued by States Parties inter alia through IMO public and international maritime conventions on the impacts of ships on the marine environment.

Article 237(1) of UNCLOS provides that the provisions of Part XII are without prejudice to ‘the specific obligations assumed by States under special conventions and agreements concluded previously which relate to the protection and preservation of the marine environment and to agreements which may be concluded in furtherance of the

33 Protocol of 2003 to the International Convention on the Establishment of an International Fund for Compensation for Oil Pollution Damage, 1992, adopted 16 May 2003 (entered into force 3 March 2005) Can TS 2010 No 4 (IOPC Supplementary Fund).34 International Convention on Liability and Compensation for Damage in Connection with the Carriage of Hazardous and Noxious Substances by Sea, adopted 2 May 1996 (not in force) 35 ILM 1406 as amended by Protocol of 2010 to Amend the International Convention on Liability and Compensation for Damage in connection with the Carriage of Hazardous and Noxious Substances by Sea, 1996, adopted on 30 April 2010 (not in force) IMO Doc LEG/CONF.17/10 (4 May 2010) (HNS Convention & Protocol) (consolidated text). 35 International Convention on Civil Liability for Bunker Oil Pollution Damage, adopted 23 March 2001 (entered into force 21 November 2008) Can TS 2010 No 3 (Bunker Convention).36 Vienna Convention (n 8) arts 30(2)-(3).


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37 In the Matter of the South China Sea Arbitration (Republic of the Philippines v. People’s Republic of China), PCA Case No. 2013-19, Award (12 July 2016), at para 237.38 Ibid at para 1090.

general principles set forth in this Convention.’ This provision is relevant for the discussion of IMO conventions concerning pollution from ships and dumping.

Article 311(2) of UNCLOS provides that UNCLOS ‘shall not alter the rights and obligations of States Parties which arise from other agreements compatible with this Convention and which do not affect the enjoyment by other States Parties of their rights or the performance of their obligations under this Convention.’ A recent arbitration award observed that ‘[T]hese provisions mirror the general rules of international law concerning the interaction of different bodies of law, which provide that the intent of the parties to a convention will control its relationship with other instruments.’37

UNCLOS also contains rules of reference by virtue of which other rules of international law, such as those contained in IMO conventions, are incorporated into the prescriptions of particular provisions. Through the agency of UNCLOS, such instruments become applicable also to States that are not parties to them. Some of these are directly relevant for this report. For example, in the context of the obligations of the flag State to exercise effective jurisdiction and control over its ships on the high seas, Article 94(5) of UNCLOS provides that in taking the prescribed measures to ensure safety at sea, the flag State ‘is required to conform to generally accepted international

regulations, procedures and practices and to take any steps which may be necessary to secure their observance.’ These include standards established in and under the various IMO conventions identified in this report. A rule of reference to a maritime instrument was recently applied to the COLREGS.38 Provisions in Part XII contain several pertinent rules of reference.

Finally, in the event of disputes, Article 293(1) of UNCLOS further speaks to the relationship between the UNCLOS and other international instruments by providing that ‘[a] court or tribunal having jurisdiction under this section shall apply this Convention and other rules of international law not incompatible with this Convention.’

2.3 The notion of ‘compe-tent international orga-nization’

The relationship between UNCLOS and other international instruments has implications for competencies of international organizations. UNCLOS assigns tasks to competent international organizations in numerous provisions aimed at facilitating cooperation among States Parties. The provisions make various uses of the terms ‘competent international organizations’, ‘appropriate international organizations’, ‘international organizations’ and ‘specialized agencies’, among other references and occasionally particular organizations are named. In a study conducted by the United Nations Division for Ocean Affairs and the Law of the Sea (DOALOS) pursuant to its role as secretariat responsible for UNCLOS, and following consultations with relevant international organizations, a matrix was prepared to identify international organizations having

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competencies with respect to specific provisions of UNCLOS.39 The matrix is not described as authoritative, but as indicative to facilitate understanding and acknowledges that other international organizations may acquire competencies in the future.40 In fact, it does not cover all provisions of UNCLOS, examples of which, for the purposes of identifying interfaces in this report, include the Articles 145, 146 and 235.

Not all organizations perform the same roles. Some references are made to ‘the’ competent international organization on specific issues, suggesting a lead role for a particular organization. Particular organizations are explicitly or implicitly assigned regulatory responsibilities or the taking of measures, entailing the possibility that they will have instruments to administer in relationship to UNCLOS. Other organizations have competence on an issue addressed by a UNCLOS provision and may only have a consultative or advisory role.

ISA and IMO are ‘competent international organizations’ with respect to tasks assigned to them by UNCLOS. As observed at the outset of this report, ISA is ‘the’ competent international organization with respect to activities in the Area and is specifically named in numerous provisions. In comparison, IMO is ‘the’ competent international organization with respect to international shipping and dumping of wastes at sea and its competencies in UNCLOS are referred to implicitly, rather than by name. In fact, IMO is referred to by name in UNCLOS only once.41 Accordingly, in referring to the respective

39 ‘“Competent or Relevant International Organizations” under the United Nations Convention on the Law of the Sea’, Law of the Sea Bulletin No. 31, at 79-95, online: <http://www.un.org/depts/los/doalos_publications/LOSBulletins/bulletinpdf/bulletinE31.pdf> (DOALOS Report).40 Ibid Introductory Note at 79.41 UNCLOS (n 1) annex VIII, art 2(2) concerning the maintenance of a list of experts for arbitration.42 Ibid art 235(3).43 Ibid art 134(2).44 Ibid.45 Ibid art 1(1)(3).

competencies of the two organizations, it is important to bear in mind that ISA, as a ‘statutory creation’ in UNCLOS, is usually named as the competent organization in specific provisions, whereas IMO’s role is usually inferred by reason of the subject-matter of the provisions concerned. There are also provisions where the role of ISA as a competent international organization, although not mentioned by name, can be inferred.42

2.4 The notion of ‘activities in the Area’

2.4.1 Functions of the termIn understanding what is comprehended by ‘activities in the Area’, it is useful to point out the functions that appear to be performed by the phrase used as a legal term in the context of Part XI. First, by defining the scope of activities the term sets out the nature and boundaries of the legal regime of the Area.43 Second, it serves to identify the activities captured by the common heritage of mankind and provides a basis for distinguishing these from other activities on the high seas that are not subject to the common heritage of mankind principle, such as the laying of submarine cables. Third, the term serves to inform the spatial and functional scope of ISA’s mandate. Fourth, it serves to identify the subject-matter of seabed mining regulation.

2.4.2 Meaning of the term

‘Activities in the Area’ are governed by Part XI of UNCLOS.44 The term is defined as ‘all activities of exploration for, and exploitation of, the resources of the Area’.45


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46 Ibid art 133(a). The ITLOS commented on these definitions. Seabed Advisory Opinion (n 3) para 82.47 UNCLOS (n 1) art 133(b).48 Seabed Advisory Opinion (n 3) at para 84.49 Ibid.50 Ibid at para 85.51 Ibid at para 86.52 UNCLOS (n 1) annex III, art 17(2) f).53 Seabed Advisory Opinion (n 3) at para 87.

UNCLOS does not define ‘exploration’ and ‘exploitation’, but the word ‘resources’ is defined to mean ‘all solid, liquid or gaseous mineral resources in situ in the Area at or beneath the seabed, including polymetallic nodules’46 and ‘when recovered from the Area are referred to as “minerals”’.47

The Seabed Advisory Opinion observed that other UNCLOS provisions may assist in developing an understanding of what is comprehended by ‘activities in the Area.’ Annex 1 sets out the Chamber’s understanding of the term. The Chamber referred to the Part XI mandate of the Enterprise to carry out activities in the Area ‘as well as the transporting, processing and marketing of minerals recovered from the Area’ (emphasis added) in Article 1(1) of Annex IV.48 The Chamber observed a distinction between the Enterprise’s Part XI mandate and the Enterprise’s Annex IV activities with the effect that the latter activities are not included in the former.49 The Chamber further observed that

Article 145 of UNCLOS … which prescribes the taking of “[n]ecessary measures . . . with respect to activities in the Area to ensure responsibilities and obligations of States with respect to effective protection for the marine environment from harmful effects which may arise from such activities”, indicates the activities in respect of which ISA should adopt rules, regulations and procedures. These activities include: “drilling, dredging, excavation, disposal of waste, construction and operation or maintenance of installations, pipelines and other devices related to such activities”. In the view of the Chamber, these activities are included in the notion of “activities in the Area”.50

The Chamber further noted that ISA’s marine environmental regulatory power provides further indications.51 Set out in a provision in Annex III, this power reads as follows:

Rules, regulations and procedures shall be drawn up in order to secure effective protection of the marine environment from harmful effects directly resulting from activities in the Area or from shipboard processing immediately above a mine site of minerals derived from that mine site, taking into account the extent to which such harmful effects may directly result from drilling, dredging, coring and excavation and from disposal, dumping and discharge into the marine environment of sediment, wastes or other effluents.52 (emphasis added)

This analysis led the Chamber to conclude that the above and other provisions confirm that processing on land to extract metals from minerals and transportation of minerals on the high seas are excluded from the notion of activities in the Area. The purpose of those provisions is to set out lists of activities producing harmful effects from activities in the Area.

These lists may be seen as an indication of what the Convention considers as included in the notion of “activities in the Area”. These activities include: drilling, dredging, coring, and excavation; disposal, dumping and discharge into the marine environment of sediment, wastes or other effluents; and construction and operation or maintenance of installations, pipelines and other devices related to such activities.53

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54 Ibid at para 88, in referring to UNCLOS (n 1), annex III, art 17(2)(f).55 Nodules Regulations (n 10) reg 1(3)(b) and (a); Sulphides Regulations, (n 11) reg 1(3)(b) and (a):“Exploration” means searching for deposits of polymetallic nodules in the Area with exclusive rights, the analysis of such deposits, the testing of collecting systems and equipment, processing facilities and transportation systems, and the carrying out of studies of the environmental, technical, economic, commercial and other appropriate factors that must be taken into account in exploitation.“Exploitation” means the recovery for commercial purposes of polymetallic nodules in the Area and the extraction of minerals therefrom, including the construction and operation of mining, processing and transportation systems for the production and marketing of metals.56 Seabed Advisory Opinion (n 3) at paras 91-92.57 Ibid para 93. The Chamber observed that “The aforementioned articles of the Convention and of Annexes III and IV, all belong to the same legal instrument. They were negotiated by the same parties and adopted at the same time. It therefore seems reasonable to assume that the meaning of an expression (or the exclusion of certain activities from the scope of that expression) in one provision also applies to the others. The Regulations are instruments subordinate to the Convention, which, if not in conformity with it, should be interpreted so as to ensure consistency with its provisions. They may, nevertheless be used to clarify and supplement certain aspects of the relevant provisions of the Convention.’ Ibid.58 Ibid para 94.59 Ibid para 95.60 Ibid para 96.61 Ibid at para 98.

The Chamber observed that ‘shipboard processing immediately above a mine site of minerals derived from that mine site’ is considered as part of the same kind of activities that may produce harmful effects in the Area.54

The Chamber then proceeded to analyze identical provisions defining exploration and exploitation in the Nodules Regulations55 and Sulphides Regulations in which it observed that the notion of ‘exploration’ appeared to be broader than ‘activities in the Area’ as set out in Annex IV of UNCLOS, as the regulations on exploration included the ‘testing of processing facilities and transportation systems and in that of exploitation, the construction and operation of processing and transportation systems.’56 In giving primacy to the narrower provisions of UNCLOS over the broader provisions of the regulations,57 the Chamber determined that (a) exploration and exploitation include the recovery of minerals from the seabed and lifting them to the surface,58 (b) activities separating water from minerals, separation of minerals and disposal at sea are included in activities of the Area, whereas processing is excluded,59 (c) transportation in situ (connected with

extraction and lifting) between installations and vessels on the high seas above the Area is included in activities in the Area, whereas transportation ex situ to unloading points on land is clearly excluded to avoid conflict with the high seas regime.60 Effectively, the Chamber read down the scope of application of the exploration regulations. This is important as it helps guide an important aspect of the interface between the respective competencies of ISA and IMO.

Finally, the Chamber noted that prospecting, which does not require State Party sponsorship, is not included in activities in the Area. UNCLOS and the Nodules and Sulphides Regulations (and for that matter also the Cobalt Regulations) distinguish this activity from exploration and exploitation. However, the Chamber observed that ‘considering that prospecting is often treated as the preliminary phase of exploration in mining practice and legislation, the Chamber considers it appropriate to observe that some aspects of the present Advisory Opinion may also apply to prospecting.’61

In summary, ‘activities in the Area’ generally refer to exploration and exploitation of


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62 Ibid art 138.

non-living resources on the seabed and subsoil of the Area and more specifically comprise of:• drilling, dredging, coring, and

excavation and lifting minerals to the surface;

• separating water from minerals;• disposal, dumping and discharge into

the marine environment of sediment, wastes or other effluents;

• in situ transportation, such as between an installation and a vessel; and

• construction and operation or maintenance of installations, pipelines and other devices related to such activities.

For the purposes of this report, it is useful to underscore that activities in the Area may be supported or complemented by other activities regulated by other competent international organizations, potentially producing an interface between competencies. In fact, the conduct of State Parties in the Area is expressly governed

by Part XI, UN Charter principles and other rules of international law, which include, inter alia, applicable international maritime conventions.62

2.5 The notion of ‘interface’ of competencies with respect to activities in the Area

While the Seabed Advisory Opinion is helpful in providing a conceptual framework for determining the meaning of ‘activities in the Area’ and identifying the consequential regulatory responsibilities for ISA, for the purposes of this report, it is necessary to overlay other regimes. In particular, shipping, including international shipping as regulated (primarily) by IMO, is expected to provide support for activities in the Area. Also relevant in some respects is the regime for the dumping of wastes at sea whose scope is broader than shipping, but for which, outside activities in the

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Area, IMO performs secretariat functions. The activities in the Area identified by the Seabed Disputes Chamber require the use of installations and ships as platforms for safe prospecting, exploration and exploitation and they will produce a range of operational wastes and further may interact with other navigational uses.

A variety of classes of vessels will be used to conduct activities in the Area or to provide support services and they may be registered in the sponsoring State or in another flag State. If the vessels are engaged on international voyages, that is the port of departure and port of arrival are not ports in the same State, a variety of international maritime rules and standards will apply to those ships depending on the instrument concerned. Vessels will also be used on cabotage service, which is domestic shipping with ports of departure and return in the same State. Although a range of rules and standards apply to these vessels, the sponsoring State as the cabotage jurisdiction would likely need to consider the extension of the full range of rules and standards applicable to international shipping. The applicable regulations concern maritime safety, environment protection, labour standards and seafarer training. Maritime security regulation may also be applicable. There will likely be new classes of ships which might necessitate the adaptation of existing or

adoption of new international standards. Otherwise the range of vessels subject to maritime regulation include transport (e.g., bulk carriers), special purpose ships, offshore supply vessels (OSV), as well as offshore installations (e.g., drillships, semi-submersibles, platforms, etc., as mobile offshore drilling units – MODUs). Special purpose ship is defined as ‘a ship of not less than 500 gross tonnage which carries more than 12 special personnel, i.e., persons who are specially needed for the particular operational duties of the ship and are carried in addition to those persons required for the normal navigation, engineering and maintenance of the ship or engaged to provide services for the persons carried on board.’63 MODU is defined as ‘a vessel capable of engaging in drilling operations for the exploration for or exploitation of resources beneath the seabed such as liquid or gaseous hydrocarbons, sulphur or salt.’64 Not all aspects and activities of MODUs are necessarily subject to IMO regulation. For example, whereas construction of MODUs is subject to an IMO standard, the activity of drilling on board is not. Similarly, whereas the seafaring crew of a drillship are subject to STCW requirements, the drilling crew are not. However, it is arguable that the International Labour Organization (ILO)’s Maritime Labour Convention, 2006 (MLC), would apply to the crew of a drillship.65 The vessels employed may be manned

63 Code of Safety for Special Purpose Ships, adopted by Maritime Safety Committee Resolution MSC.266(84) on 13 May 2008 (SPS Code), reg 3.64 Code for the Construction and Equipment of Mobile Offshore Drilling Units, adopted by Assembly Resolution Res.A.1023(26) on 2 December 2009 (MODU Code), reg 1.3.65 This convention defines ‘seafarer’ as ‘any person who is employed or engaged or works in any capacity on board a ship to which this Convention applies.’ Maritime Labour Convention, adopted 23 February 2006 (entered into force 20 August 2013), Can TS 2013 No 16 (MLC), art II(1)(f). The designation would apply if the place of work of the drill worker is a ‘ship’. In case of doubt as to whether the MLC applies to drill workers, or for that matter workers employed in seabed mining and working on board of vessels conducting activities in the Area, the MLC leaves a State Party some latitude. Art II(3) provides that ‘[I]n the event of doubt as to whether any categories of persons are to be regarded as seafarers for the purpose of this Convention, the question shall be determined by the competent authority in each Member after consultation with the shipowners’ and seafarers’ organizations concerned with this question.’ Additionally, art II(5) provides ‘[I]n the event of doubt as to whether this Convention applies to a ship or particular category of ships, the question shall be determined by the competent authority in each Member after consultation with the shipowners’ and seafarers’ organizations concerned.’


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or unmanned, remotely operated or automated or autonomous, and for which there are IMO as well as industry standards. There will also be a range of other technologies, not easily captured by the definition of ‘ship’ if at all, such as seabed excavators, collectors and pipelines. They are not addressed by IMO regulations and might raise new regulatory challenges for ISA. Submersibles are covered in some respects (e.g., for pollution prevention in MARPOL), but not in the COLREGS. The latter generally apply to surface vessels and should there be a substantial growth in the use of submersibles, potential interactions between surface and subsurface vessels might also increase. With the limited exception of a COLREGS rule concerning visibility of lights on inconspicuous partly submerged vessels,66 at this time there are no international rules and standards to guide such interactions.

The consequence of using ships and installations to support activities in the Area is that two different regimes in UNCLOS, deep seabed mining in Part XI and navigation and shipping (which cuts across UNCLOS), are juxtaposed

and overlaid. Moreover, the regime for activities in the Area may interface with the more general regime for dumping at sea.

The notion of ‘interface’ in this report is used where there is actual or potential in-teraction of the different regimes and con-sequential competencies. Identification of an interface is not per se indicative of lead or supportive roles. As the DOALOS report illustrates,67 there are numerous provisions in UNCLOS where multiple organizations are competent with respect to the same provision. This means that various organi-zations have something to contribute be-cause their mandates and expertise posi-tion them to facilitate the purposes of the provision and possibly as instruments of inter-State cooperation. Determination of distribution of responsibilities requires, first and foremost, further textual interpre-tation to ascertain if the intent of the provi-sion is to assign the lead role, for example by expressly naming the competent or-ganization or by using the definite article (‘the’) in referring to competent organi-zation by function, and the context of the provision.

66 COLREGS (n 18) rule 22(d). The rule prescribes ‘In inconspicuous, partly submerged vessels or objects being towed; a white all-round light, 3 miles.’67 DOALOS Report (n 39).

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3. MANDATE OF THE INTERNATIONAL SEABED AUTHORITY

The ISA was formally established by UNCLOS in Part XI and all 168 Parties to date are ipso facto members.68 The ISA is set up as ‘the organization’ through which States Parties shall ‘organize and control activities in the Area’69 on behalf of mankind in accordance with Part XI and the 1994 Agreement.70 As a creature of UNCLOS, ISA’s powers and functions are limited to those expressly conferred.71 However, UNCLOS and the 1994 Agreement also provide for incidental powers. Reflecting a UNCLOS provision,72 the 1994 Agreement

provides that ‘[T]he Authority shall have such incidental powers, consistent with the Convention, as are implicit in, and necessary for, the exercise of those powers and functions with respect to activities in the Area.’73

The rights in the resources of the Area are vested in mankind and may not be alienated. It is only the minerals recovered from the Area that may be alienated and only in accordance with Part XI and the rules, regulations and procedures of ISA.74

68 UNCLOS (n 1) art 156(1)-(2).69 Ibid art 157(1); Implementation Agreement (n 2) annex, s 1(1).70 UNCLOS (n 1) arts 137(2) and 153(1).71 Ibid art 157(2).72 ‘The Authority shall have such incidental powers consistent with this Convention, as are implicit in and necessary for the exercise of those powers and functions with respect to activities in the Area.’ Ibid art 157(2).73 Implementation Agreement (n 2), Annex, Section 1, para 1. Compared to UNCLOS art 157(2), the Implementation Agreement provision uses the same text, but employs more commas to break up the clauses, possibly for emphasis as well as better sentence structure.

Photo: ISA


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Activities in the Area are to be carried out for the benefit of mankind and ISA is mandated to provide equitable sharing criteria for this purpose.75 UNCLOS provides for activities in the Area to be guided by a range of policies aiming at specified outcomes. Policies having specific relevance to this report include those related to resource development and the orderly, safe and rational resource management and the efficient conduct of activities to avoid unnecessary waste.76 The ISA is also to be guided by a production policy, whose parameters are articulated in the 1994 Agreement and is to be guided by sound commercial principles and international trade law.77 The ISA’s policy concerning economic assistance to developing countries whose export earnings suffer as a result of activities in the Area is further guided by the 1994 Agreement.78 In exercising its powers and functions, ISA shall avoid discrimination, including in the granting of opportunities in the Area; however, special consideration of developing countries (and particular consideration of land-locked and geographically disadvantaged States among them) is permitted as specifically provided in Part XI.79

The activities in the Area are organized, carried out and controlled by ISA.80 The actual exploration and exploitation activities are to be carried out by the Enterprise (when operational) and ‘in association with ISA by States Parties, or state enterprises or natural or juridical persons which possess the nationality of States Parties or are effectively controlled by them or their nationals, when sponsored

by such States, or any group of the foregoing which meets the requirements’ provided in Part XI and Annex III.81 Activities in the Area are required to be carried out in accordance with a formal plan of work complying with Annex III, reviewed by the Legal and Technical Commission (LTC) and approved by the Council. Where the activities are to be carried by the entities specified in UNCLOS, the plan of work will be in the form of a contract and may include joint arrangements.82

As seen in the above discussion of the Seabed Advisory Opinion’s understanding of ‘activities in the Area’, ISA has broad powers to accomplish its mandate:

4. The ISA shall exercise such control over activities in the Area as is necessary for the purpose of securing compliance with the relevant provisions of this Part [Part XI] and the Annexes relating thereto, and the rules, regulations and procedures of the ISA, and the plans of work approved ...

5. The ISA shall have the right to take at any time any measures provided for under this Part to ensure compliance with its provisions and the exercise of the functions of control and regulation assigned to it thereunder or under any contract. The ISA shall have the right to inspect all installations in the Area used in connection with activities in the Area.83

It has extensive regulatory power under Article 160. In Annex III, UNCLOS further

74 UNCLOS (n 1) art 137(2).75 Ibid art 140.76 Ibid art 150(a)-(b).77 Implementation Agreement (n 2, Annex, Section 6; UNCLOS (n 1) art 151, subject to Implementation Agreement, Annex, Section 6.78 Implementation Agreement (n 2), Annex, Section 7.79 UNCLOS (n 1) art 152.80 UNCLOS (n 1) art 153(1).81 Ibid art 153(2).82 Ibid art 153(3).83 Ibid.

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expounds on ISA’s power to adopt and uniformly apply rules, regulations and procedures84 in exercising its functions on a number of matters and include, inter alia:

Rules, regulations and procedures shall be drawn up in order to secure effective protection of the marine environment from harmful effects directly resulting from activities in the Area or from shipboard processing immediately above a mine site of minerals derived from that mine site, taking into account the extent to which such harmful effects may directly result from drilling, dredging, coring and excavation and from disposal, dumping and discharge into the marine environment of sediment, wastes or other effluents.85

The structures of ISA are the Assembly, as the supreme organ consisting of the entire membership; the Council as the executive organ; the Secretariat; and the Enterprise as the organ through which ISA undertakes activities in the Area directly. The subsidiary organs of the Council are the Economic Planning Commission,86 the LTC87 and the Finance Committee.88 The 1994 Agreement stipulates an ‘evolutionary’ approach to the operationalization of ISA’s organs and subsidiary bodies, guided by cost-effectiveness. For this purpose, the 1994 Agreement provided for the initial performance of the functions of the

Economic Planning Commission by the LTC ‘until such time as the Council decides otherwise or until the approval of the first plan of work for exploitation’.89 Unlike the other two subsidiary organs, the Finance Committee was established by the 1994 Agreement.90

The organs have specific powers and functions that are pertinent to this report. The Assembly has the power to adopt general policies on any matter within ISA’s competence, in conformity with UNCLOS, and, inter alia, to approve the Council’s recommendations of rules, regulations and procedures.91 These include regulations and procedures relating to, inter alia, prospecting, exploration and exploitation in the Area.92 The Assembly is empowered to undertake a general and systematic review of the operation in practice of the regime of the Area every five years since the entry into force of UNCLOS.93 The Council has ‘the power to establish, in conformity with this Convention and the general policies established by the Assembly, the specific policies to be pursued by the Authority on any question or matter within the competence of the Authority’.94 Further, it has the responsibility to ‘supervise and coordinate the implementation of the provisions of this Part on all questions and matters within the competence of ISA and invite the attention of the Assembly to cases of noncompliance.’95 The Council approves plans of work96 and has the power to ‘exercise control over activities

84 Ibid annex III, art 17(2)(1).85 Ibid annex III, art 17(2)(f).86 Ibid art 164. Members have qualifications in mining, management of mineral resource activities, international trade or international economics. This Commission is not operational.87 Ibid art 165. Members have qualifications and expertise on exploration, exploitation and processing of mineral resources, oceanology, marine environment protection, economic and legal matters relating to ocean mining and related fields of expertise.88 Implementation Agreement (n 2), Annex, Section 9.89 Ibid annex, Section 1, para 4. 90 Ibid annex, Section 1, para 1. Members have qualifications and expertise in financial matters.91 Ibid art 160(1)-(2)(f).92 Ibid art 160(2)(f)(ii).93 Ibid art 154.94 Ibid art 162(1).


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in the Area in accordance with article 153, paragraph 4, and the rules, regulations and procedures of the Authority’.97 The Assembly and the Council also have the power to request advisory opinions from the Seabed Disputes Chamber ‘on legal questions arising within the scope of their activities.’98 The LTC has terms of reference that include regulatory tasks pertinent to this report. In particular, the LTC is tasked to:

(a) formulate and submit to the Council the rules, regulations and procedures referred to in article 162, paragraph 2(o) of UNCLOS, taking into account all relevant factors including assessments of the environmental implications of activities in the Area;

(b) keep such rules, regulations and procedures under review and recommend to the Council from time to time such amendments thereto as it may deem necessary or desirable.99

The Finance Committee plays a vital role in advising the Assembly and Council. For example, the decisions of the Assembly

and Council concerning draft financial rules, regulations and procedures of the organs shall take into account the recommendations of the Finance Committee.100

In addition to its mining regulatory mandate, ISA has been allocated various other responsibilities and powers to enable it to address specific concerns pertinent to activities in the Area, such as consulting with affected coastal States,101 marine scientific research,102 technology transfer,103 protection of the marine environment,104 protection of human life105 and accommodation of activities.106 The latter three are of particular relevance in exploring areas of potential interface between ISA’s and IMO’s competencies in the Area and are discussed in detail below.In addition to the development of primary rules on the protection of the marine environment of the Area, ISA, as well as IMO, appears to have implicit competence to facilitate inter-State cooperation on the development of secondary rules concerning responsibility and liability, also discussed below.107

95 Ibid art 162(2)(a).96 Implementation Agreement (n 2) section 3(11)(a), read together with section 1(6)-(11) in accordance with UNCLOS (n 1) annex III, art 6.97 Ibid art 162(2)(l).98 Ibid at art 191.99 Ibid art 165(2).100 Implementation Agreement (n 2), Annex, Section 9, para 7(a).101 UNCLOS (n 1) art 142.102 Ibid art 143(2)-(3).103 Ibid art 144; Implementation Agreement (n 2), annex, section 5(1).104 UNCLOS (n 1) art 145.105 Ibid art 146.106 Ibid art 147.107 Ibid art 235(3).

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4. MANDATE OF THE INTERNATIONAL MARITIME ORGANIZATION

IMO was created as a specialized agency of the United Nations in 1948.108 Today IMO has 174 member States and three associate members. Its structure includes the Assembly, Council, Secretariat and five committees, of which the most significant for this report are the Maritime Safety Committee (MSC) and Marine Environment Protection Committee (MEPC) together with their subcommittees, and the Legal Committee (LEG).

To identify where and how IMO’s competencies in international navigation and shipping might interface with ISA’s with respect to activities in the Area, it is necessary to set out the main sources of purposes and functions for which IMO is responsible and to consider these in turn. They arise from several instruments, including:

(a) the general mandate set out in its constitutive instrument, i.e., IMO Convention;

(b) international maritime conventions delegating a function to IMO for their maintenance and development of subsidiary instruments; and

(c) specific provisions in UNCLOS implying a thematic function for IMO

as ‘the’ or ‘a’ competent international organization.109

The purposes and functions in (a) consist of the core mandate of IMO as an instrument of cooperation among its member States. Under IMO's Convention, IMO has a broad mandate:

To provide machinery for co-operation among Governments in the field of governmental regulation and practices relating to technical matters of all kinds affecting shipping engaged in international trade; to encourage and facilitate the general adoption of the highest practicable standards in matters concerning the maritime safety, efficiency of navigation and prevention and control of marine pollution from ships; and to deal with administrative and legal matters related to the purposes set out in this article.110

The mandate has expanded significantly since IMO was established and today covers virtually every regulatory aspect of international shipping. Other aspects of shipping, including the private international law of carriage of goods by sea, are addressed by yet other international organizations.111 IMO’s powers include,

108 IMO Convention (n 16).109 These functions are discussed in depth by Aldo Chircop, ‘The International Maritime Organization’, in D.R. Rothwell, A. Oude Elferink, K.N. Scott & T. Stephens (eds), Oxford Handbook on the Law of the Sea (Oxford: Oxford University Press, 2015), 416-438.110 IMO Convention (n 16) art 1(a). This provision is the basis for the mission in the IMO strategic plan. See Strategic Plan for the Organization (2018-202), Assembly Resolution A.1110(30) adopted 8 December 2017.111 Namely the United Nations Commission on International Trade Law (UNCITRAL) and United Nations Conference on Trade and Development (UNCTAD).


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inter alia, provision for the ‘the drafting of conventions, agreements, or other suitable instruments, and recommend these to governments and to intergovernmental organizations, and convene such conferences as may be necessary.’112 IMO is also empowered to consider and make recommendations on matters remitted to it by any intergovernmental organization,113 such as ISA.

With respect to the functions in (b), IMO has adopted and/or oversees over 50 international conventions and protocols on maritime safety, environment protection, maritime security, trade facilitation, and civil liability and compensation.114 These instruments include the principal international maritime conventions considered in this report and which delegate secretariat and other functions to IMO. Most importantly, the maritime safety and environmental conventions

enable IMO, through the MSC and MEPC, to maintain oversight of those instruments and provide for their amendment and adoption of further subsidiary instruments, such as mandatory and voluntary codes, guidelines and resolutions. These instruments provide substantive content to the jurisdictional schemes and prescriptions for cooperation on international navigation and shipping in UNCLOS, as well as helping maintain public order on the high seas. The LEG Committee similarly oversees the conventions on civil liability.

The functions in (c) concern the regulatory role IMO plays in an implicit manner through several rules of reference in several UNCLOS provisions. These are summarized in Annex 2. With respect to high seas areas, and of relevance to activities in the Area, the role of IMO competencies is particularly visible in Part

112 IMO Convention (n 16) art 2(b).113 Ibid art 2(a).114 See Comprehensive Information on the Status of Multilateral Conventions and Instruments in Respect of which the International Maritime Organization or its Secretary-General Performs Depositary or other Functions (IMO, 21 February 2019), online: <http://www.imo.org/en/About/Conventions/StatusOfConventions/Documents/Status%20-%202019.pdf>.

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VII of UNCLOS in setting the international standards and rules against which flag State obligations are benchmarked. Flag States enjoy exclusive jurisdiction over their ships on the high seas and have a due diligence obligation to exercise effective jurisdiction and control in administrative, technical and social matters.115 This obligation includes: ‘manning of ships, labour conditions and the training of crews, taking into account the applicable international instruments’,116 which consist of the STCW Convention and the MLC117; ensuring safety at sea by taking measures so that the ‘master, officers and, to the extent appropriate, the crew are fully conversant with and required to observe the applicable international regulations concerning the safety of life at sea, the prevention of collisions, the prevention, reduction and control of marine pollution, and the maintenance of communications by radio’,118 essentially referring to rules in several IMO conventions including, STCW, SOLAS, COLREGS, SAR, MARPOL, AFS and BWM; and in taking ‘the measures called for in paragraphs 3 and 4 [which include all of the above as well as: ship construction, equipment, and seaworthiness; preliminary and regular surveying of ships; on board charts, nautical publications and equipment; ship in charge of qualified master, officers and sufficient crew] each State is required to conform to generally accepted international regulations, procedures and practices’,119 implicitly referring to the above maritime conventions again.

Other rules of reference in Part XII of UNCLOS engage IMO general competence in the protection and preservation of the marine environment from vessel-source pollution, potentially

115 UNCLOS (n 1) art 94(1).116 Ibid art 94(3).117 MLC (n 65).118 Ibid art 94(4).119 Ibid art 94(5).120 Ibid art 211(1).121 Ibid art 211(2).122 Ibid art 211(7).

interfacing with ISA competence when vessels are used to support activities in the Area. Article 211 concerning pollution from vessels contains rules of reference to IMO conventions. The opening provision sets out a general duty for States, but also a general mandate for IMO:

States, acting through the competent international organization or general diplomatic conference, shall establish international rules and standards to prevent, reduce and control pollution of the marine environment from vessels and promote the adoption, in the same manner, wherever appropriate, of routeing systems designed to minimize the threat of accidents which might cause pollution of the marine environment, including the coastline, and pollution damage to the related interests of coastal States. Such rules and standards shall, in the same manner, be re-examined from time to time as necessary.120 (emphasis added)

‘Vessel’ and ‘ship’ are not defined in UNCLOS and reliance is placed on the definitions attached to these for specific purposes in the various IMO conventions. flag States are expected to legislate standards for their ships that ‘have the same effect as that of generally accepted international rules and standards established through the competent international organization or general diplomatic conference.’121 UNCLOS further requires that international rules under this provision include prompt notification of coastal States whose interests are affected by a casualty.122 Thus, insofar as ships are concerned, IMO has competence to adopt international, rules, regulations and standards for


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vessel-source pollution, as well as routeing systems to prevent accidents. This provision is nourished by several IMO conventions, including MARPOL (all annexes), the BWM Convention and the AFS Convention, including their codes and related guidelines, generally providing duties for flag States and standards for their ships.

Flag States have a duty to legislate atmospheric pollution from their ships, wherever they are, ‘taking into account internationally agreed rules, standards and recommended practices and procedures …’123 and for all States ‘acting especially through competent international organizations or diplomatic conference’ to endeavour to adopt global rules, standards and recommended practices and procedures’ for such pollution.124 There is a similar obligation to legislate to enable enforcement by implementing ‘applicable international rules and standards established through competent international organizations or diplomatic conference’ for such pollution. The principal IMO instrument nourishing this provision is MARPOL Annex VI, which plays a vital role in regulating a range of harmful emissions from ships.

Article 210(4) of UNCLOS concerning pollution by dumping, defined comprehensively in Article 1(5) of

UNCLOS,125 allocates roles to competent international organizations, including IMO, rather than to a single organization, as follows:

States, acting especially through competent international organizations or diplomatic conference, shall endeavour to establish global and regional rules, standards and recommended practices and procedures to prevent, reduce and control such pollution. Such rules, standards and recommended practices and procedures shall be re-examined from time to time as necessary.

Consistently, the exercise of legislative jurisdiction by States ‘shall be no less effective in preventing, reducing and controlling such pollution than the global rules and standards.’126 Similarly, the exercise of enforcement jurisdiction in Article 216 of UNCLOS includes an obligation for the flag State to enforce, inter alia, ‘applicable international rules and standards established through competent international organizations or diplomatic conference for the prevention, reduction and control of pollution of the marine environment by dumping.’127 This obligation also applies to any other State (for example the sponsoring State and other States receiving minerals from the Area) ‘with regard to acts of loading of wastes or other matter occurring within its

123 Ibid art 212(1).124 Ibid art 222.125 Ibid art 1(5):(a): ‘ “dumping” means:(i) any deliberate disposal of wastes or other matter from vessels, aircraft, platforms or other man-made structures at sea;(ii) any deliberate disposal of vessels, aircraft, platforms or other man-made structures at sea;(b) “dumping” does not include:(i) the disposal of wastes or other matter incidental to, or derived from the normal operations of vessels, aircraft, platforms or other man-made structures at sea and their equipment, other than wastes or other matter transported by or to vessels, aircraft, platforms or other man-made structures at sea, operating for the purpose of disposal of such matter or derived from the treatment of such wastes or other matter on such vessels, air-craft, platforms or structures;(ii) placement of matter for a purpose other than the mere disposal thereof, provided that such placement is not contrary to the aims of this Convention.126 Ibid art 210(6).127 Ibid art 216(1).128 Ibid art 216(1)(c).

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territory or at its off-shore terminals.’128 The London Convention and London Protocol establish regulatory regimes for dumping at sea and serve to nourish Articles 210 and 216 of UNCLOS with detailed prescriptions. While they recognize roles for competent international organizations and agencies, the two instruments allocate to IMO the function of secretariat.129 The London Protocol expressly designates IMO as ‘the’ competent organization and provides it with a dedicated mandate and several responsibilities throughout the

instrument.130 The secretariat functions are not regulatory131 and the responsibility for amending the two instruments resides with consultative or special meetings of Contracting Parties.132 The London Convention has a definition of dumping consistent with UNCLOS but, together with the London Protocol, excludes ‘disposal of wastes or other matter directly arising from, or related to the exploration, exploitation and associated off-shore processing of seabed mineral resources.’133

129 London Convention (n 23) art XIV(2). First Meeting of Contracting Parties, Resolution LDC (7) Rev 1 adopted on 18 December 1975.130 London Protocol (n 24) arts 1(2) and 19.131 London Convention (n 23) art XIV(3); London Protocol (n 24) art 19.132 London Convention (n 23) art XIV(4)(a).133 Ibid art III(1)(c); London Protocol (n 24) art 1(4)(3).

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5. INTERFACE OF COMPETENCIES AND DIVISION OF RESPONSIBILITIES 5.1 General considerations

In this section the report explores the actual and potential interface between the regimes for deep seabed mining and international navigation and shipping, directly or indirectly with respect to activities in the Area. The section aims to identify the respective competencies of ISA and IMO and division of responsibilities in accordance with their mandates. The earlier survey of the two organizations’ respective mandates, together with the definition of activities in the Area proffered by the Seabed Advisory Opinion serve as backdrop.

5.2 Maritime safety

5.2.1 Promotion of human safety in the Area

Article 146 of UNCLOS empowers ISA to ‘adopt appropriate rules, regulations and procedures to supplement existing international law as embodied in relevant treaties’ (emphasis added) as necessary to ensure effective protection of human life with respect to activities in

the Area. The intention of the provision is for ISA to regulate for the protection of human life on safety aspects concerning exploration and exploitation in a manner to complement international regulations already adopted by other organizations. These organizations are IMO, which has extensive maritime safety and seafarer training regulation discussed further below, and ILO concerning occupational health and safety for seafarers, but outside the remit of this report. The definition of ‘seafarer’ in the MLC is comprehensive as to potentially encompass workers involved in activities in the Area.134

The exploration regulations address this topic by delegating the task of assessing whether a plan of work provides for health and safety to the LTC.135 No specific ISA regulations on the topic are referred to as presumably ISA has as yet to develop its own rules on the matter. On the other hand, the standard clauses for exploration contain rules of reference to international safety, labour and health standards, as well as rules that may be adopted at some point by ISA, as in the case of the Sulphides Regulations:

134 ‘Seafarer is defined as ‘any person who is employed or engaged or works in any capacity on board a ship to which this Convention applies’; art II(4): ‘Except as expressly provided otherwise, this Convention applies to all ships, whether publicly or privately owned, ordinarily engaged in commercial activities, other than ships engaged in fishing or in similar pursuits and ships of traditional build such as dhows and junks. This Convention does not apply to warships or naval auxiliaries.’ MLC (n 65) art II(1)(f):135 Nodules Regulations (n 10), reg 21(4); Sulphides Regulations (n 11) reg 23(4); Cobalt Regulations (n 12) reg 23(4).

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ILO. Contractors are required to comply with such international rules and standards.

IMO instruments on maritime safety are premised on the idea that the safety of the ship is central to the assurance of human safety on board and on other ships. The key IMO maritime safety conventions considered in this report (namely SOLAS, LL and COLREGS) will apply to ships and installations registered by flag States and engaged in activities in the Area. The Draft exploitation regulations are clear in requiring compliance by contractors with rules adopted by other competent international organizations.140 COLREGS will be discussed in a separate section below. As observed earlier, in exercising jurisdiction and control over their ships flag States have an obligation to apply IMO and other international standards with respect to their ships. Under the Draft exploitation regulations contractors have a duty to comply with flag State regulations or the sponsoring State as the case may be.141

In general, unless expressly stated otherwise, the SOLAS and LL Conventions apply to ships engaged in international voyages, that is where the port of departure and port of arrival are in different States.142 Ships servicing deep seabed mining departing and returning to the same port are considered domestic shipping (i.e., cabotage) and may not be captured by the SOLAS and LL Conventions. The sponsoring State in whose and from whose ports such ships are operating, and whether the ships are registered under its flag or a foreign flag, has ISA to extend the

15.1 The Contractor shall comply with the generally accepted international rules and standards established by competent international organizations or general diplomatic conferences concerning the safety of life at sea, and the prevention of collisions and such rules, regulations and procedures as may be adopted by the Authority relating to safety at sea. Each vessel used for carrying out activities in the Area shall possess current valid certificates required by and issued pursuant to such international rules and standards.15.2 The Contractor shall, in carrying out exploration under this contract, observe and comply with such rules, regulations and procedures as may be adopted by the Authority relating to protection against discrimination in employment, occupational safety and health, labour relations, social security, employment security and living conditions at the work site. Such rules, regulations and procedures shall take into account conventions and recommendations of the International Labour Organization and other competent international organizations.136 (emphasis added)

The Draft exploitation regulations set out protection of human life as a regulatory principle,137 provide for the adoption of ‘A Health, Safety and Maritime Security Plan’ (in accordance with the regulations’ Annex VI, which has yet to be developed)138 and detailed regulations on ‘Safety, labour and health standards’.139 It appears that at this time both the exploration and Draft exploitation regUlations are relying on international standards for the protection of human life already adopted by IMO and

136 Sulphides Regulations (n 11) reg 15.137 Draft Exploitation Regulations (n 13) draft reg 2(d).138 Ibid draft reg 7(3)(f).139 Ibid draft reg 30.140 Ibid. Draft reg 30 states the requirement of compliance both in implicit and in express terms throughout the provision, for example with respect to seaworthiness, maintenance of class, safety of life at sea, collisions, pollution prevention, treatment of seafarers, certification, and so on.141 Ibid draft reg 30(3).142 For example, SOLAS (n 19) chap 1, reg 1(a) and LL Convention (n 17) annex A, art 2(4).


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application of international regulations to its domestic shipping. This could be a useful regulatory intervention by ISA to ensure that international maritime safety regulations apply to all ships and on all voyages engaged in activities in the Area.

SOLAS is the most important international instrument designed to promote maritime safety by setting minimum technical standards. Most of its regulations are relevant for ships operating in the Area and are accompanied by mandatory codes, recommendations and guidelines. Examples of the principal SOLAS chapters containing likely relevant regulations to highlight include:

• Chapter I: Surveying, documentation and port inspection for all ships. The regulations generally apply to ships on international voyages, unless provided otherwise.143

• Chapter II-1: Ship construction, focusing on subdivision and stability, machinery and electrical installations, including goal-based standards for bulk carriers which would be utilized to transport minerals from the Area.144 These apply to all ships constructed after a specified date, unless a maritime administration provides exemptions for specific rules to its ships.145

• Chapter II-2: Fire protection, fire

detection and fire extinction for all ships. These rules apply to ships constructed after a specified date and for all ships.146

• Chapter III: Life-saving appliances and arrangements according to type of ship. These apply to all ships,147 with provisions for ships built before a specified date.148

• Chapter IV: Radio communications incorporating the Global Maritime Distress and Safety System (GMDSS), including undertakings by States Parties to provide radio communication services.149 These apply to all ships and cargo ships above a specified tonnage.150

• Chapter V: Safety of navigation generally applicable to all ships on all voyages, and including provisions on sufficient manning, adoption of routeing measures, meteorological services, SAR services, carriage of voyage data recorders and automatic identification systems (discussed further under navigation safety below). These apply to all ships on all voyages, unless expressly provided otherwise.151

• Chapter VI: Carriage of cargoes, including solid bulk cargoes such as minerals, and proper stowage to ensure ship stability.152 These apply to ships above a specified tonnage and carrying certain cargoes.153

143 Ibid chap 1, reg 1(a).144 See Goal-based Ship Construction Standards for Bulk Carriers and Oil Tankers means the International Goal-Based Ship Construction Standards for Bulk Carriers and Oil Tankers, adopted by the Maritime Safety Committee by Resolution MSC.287(87) on 20 May 2010.145 SOLAS (n 19), chap II-1, reg 1.146 Ibid chap II-2, reg 1.1.147 See International Life-Saving Appliance (LSA) Code, adopted by the Maritime Safety Committee by Resolution MSC.48(66) on 4 June 1996.148 SOLAS (n 19) chap III, reg 1.149 See International Code of Signals, adopted by Assembly Resolution A.IV/Res.80 on 27 September 1965. SOLAS Chapter IV is also linked to the International Telecommunication Union (ITU)’s Radio Regulations, online: <https://www.itu.int/pub/R-REG-RR-2016>. 150 SOLAS (n 19) chap IV, reg 1.151 Ibid chap V, reg 1.152 See International Maritime Solid Bulk Cargoes Code (IMSBC Code), adopted by Maritime Safety Committee Resolution MSC.268(85) on 4 December 2008.153 SOLAS (n 19) chap VI, reg 1.

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• Chapter VII: Carriage of dangerous goods.154 These apply to all ships and cargo vessels less than a specified tonnage.155

• Chapter IX: Management for the safe operation of ships requiring safety management systems for ships.156 These apply to all ships.157

• Chapter XI-1: Special measures to enhance maritime safety concerning the role of recognized organizations in carrying out surveys and inspections on behalf of the flag State. These concern the designation of recognized organizations by the maritime administration.158

• Chapter XII: Additional safety measures for bulk carriers over 150 metres long. In addition to other regulations, these apply to this particular class of ship.159

• Chapter XIII: Verification of compliance, concerning the mandatory IMO Member State Audit Scheme. These regulations serve to guide the implementation of SOLAS States Parties in executing their obligations and responsibilities.160

The extent to which SOLAS applies to the different classes of ships is set out in each of its chapters. The maritime administration of a flag State may provide exemptions

154 The principal code providing detailed regulation for safe packing, marking, handling and carriage is the mandatory IMDG Code. Other codes apply depending on the cargo carried. 155 SOLAS (n 19) chap VII, reg 1.156 International Management Code for the Safe Operation of Ships and for Pollution Prevention, adopted by Assembly Resolution A.741(18) on 17 November 1993 (ISM Code).157 SOLAS (n 19) chap IX, reg 2.158 Ibid chap XI-1, reg 1.159 Ibid chap XII, reg 2.160 Ibid chap XIII, reg 2.


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from certain rules, for example for ships involving novel technologies to encourage technological development.161 This could be relevant for new technologies developed for activities in the Area.

The SAR dimension in SOLAS is further fleshed out in numerous guidelines and guidance documents, as well as in the SAR Convention. Under the latter convention, States Parties undertake to develop the infrastructure and cooperative arrangements necessary for the provision of SAR services, including the allocation of responsibilities for all marine regions. The measures provided by the SAR Convention include ship reporting systems.162

The LL Convention addresses a longstanding concern regarding the appropriate loading of ships on international voyages, depending on their class and navigation environment. They are relevant for all ships operating in the Area, including vessels that may be loading and transporting minerals. Annex I of this convention provides rules for the determination of the freeboard for safe loading, taking into consideration subdivisions in the hull structure and maintaining stability in damage conditions.163 The rules include seasonal load lines to factor the different navigation conditions of various geographical regions. This means that activities in the Area in different marine regions will have their own load lines under Annex II of this convention. The load lines are marked at different points on the hull exterior. Annex III provides additional safety measures for personnel on board.

Activities in the Area will involve a range of vessels, from conventional ships such as OSVs and bulk carriers, to a range of installations, including floating platforms, floating and submerged structures, submersibles and craft operating on the seabed. In addition to standards for conventional ships, IMO has adopted codes under SOLAS containing standards for MODUs, special purpose ships and OSVs. It may be recalled that Article 147(2)(a) of UNCLOS provides that ‘installations shall be erected, emplaced and removed solely in accordance with this Part and subject to the rules, regulations and procedures of the Authority’, but the provision does not expressly extend ISA’s mandate to regulate construction and equipment requirements. It is useful to point out that IMO has adopted the non-mandatory MODU Code containing recommendations on design criteria, construction standards and safety measures to protect personnel on board and the environment to provide an equivalent level of safety to that provided under SOLAS and the LL Convention.164 Similarly, the Code of Safety for Special Purpose Ships (SPS Code) provides recommendations for design criteria, construction standards and safety measures for such vessels.165 The purpose of the code is to provide safety standards for such vessels and personnel operating them that are equivalent to those available in SOLAS. The SPS Code does not apply to MODUs.166 Also relevant is the Code of Safe Practice for the Carriage of Cargoes and Persons by Offshore Supply Vessels (OSV Code), which applies to vessels ‘used for the transportation of stores, materials, equipment or personnel to, from and

161 Ibid chap 1, reg 4.162 SAR Convention (n 20) annex, chap V.163 See International Code on Intact Stability, adopted by Maritime Safety Committee Resolution MSC.267(85) on 4 December 2008. 164 MODU Code (n 64) preamble.165 SPS Code (n 63) chap 1, reg 1.1166 Ibid reg 1.2.2.

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between offshore installations.’167 Offshore installation is defined as ‘a structure which is, or is to be, or has been used, while standing or stationed in water, or on the foreshore or other land intermittently covered with water.’168 The purpose is to provide operators and contractors with ‘an international standard to avoid or reduce to a minimum the hazards which affect offshore supply vessels’ in their operations and should be considered in implementing a safety management system under the ISM Code.169 The OSV Code also recommends that vessels fitted with dynamic positioning equipment comply with the guidelines.170

In summary, IMO standards cover many of the human safety considerations in regulating activities in the Area and will nourish the various exploration and Draft exploitation regulations. They are updated in response to technological change and lessons learned on a regular basis. It is efficient and makes functional sense for ISA to continue to employ rules of reference in its regulations, as it has in the Draft

exploitation regulations, and standard clauses to IMO standards on protection of human life.

5.2.2 Navigation safety

Navigation safety is addressed by SOLAS Chapter V and COLREGS, each containing numerous regulations and rules that are relevant for operations in the Area. There will be substantial maritime traffic supporting activities in the Area. Chapter V includes several undertakings by States,171 ships’ routeing and reporting, safe manning and equipment,172 and rules for safe navigation.173 Regulation 10 contains recommendations for the use of ship routeing systems by all ships, and may be voluntary or mandatory.174 Routeing is particularly valuable to help organize maritime traffic and indeed has been important for marine spatial planning and area management in regions such as the North Sea, where shipping, offshore oil and gas, cables and pipelines, wind farms, fishing and other ocean users interact.

167 Code of Safe Practice for the Carriage of Cargoes and Persons by Offshore Supply Vessels, Assembly Resolution A.863(20) adopted 27 November 1997 (OSV Code), reg 1.1.3.168 Ibid reg 1.1.5.169 Ibid foreword.170 Ibid reg 1.1.5.171 SOLAS (n 19) Chap V, reg 5: Meteorological services and warnings, consisting of an undertaking by governments to encourage their ships to collect meteorological data (e.g., storm warnings) and for its dissemination to mariners, including in high seas areas. Reg 7: SAR services, consisting of an undertaking by governments to ensure that necessary arrangements are made for distress communication and co-ordination in their area of responsibility and for the rescue of persons in distress at sea around their coasts.172 Ibid: reg 12: shipborne navigational equipment, prescribing various navigational equipment, such as compasses, radar, echo-sounders, radio equipment, etc.; reg 14: ships' manning, requiring that all ships are sufficiently and efficiently manned to maintain safety of life at sea; reg 16: maintenance of equipment, to ensure continued performance; reg 18: approval, surveys and performance standards of navigational systems and equipment and voyage data recorder; reg 19: carriage requirements for shipborne navigational systems and equipment; reg 19-1: long-range identification and tracking of ships, which applies, among other, to cargo ships and MODUs, prescribing AIS and providing for entitlements to access AIS data; reg 20: voyage data recorder, to assist casualty investigations.173 Ibid: reg 21: International Code of Signals and IAMSAR Manual, essential for signalling and SAR; reg 22: navigation bridge visibility; reg 24: use of heading and/or track control systems; reg 25: operation of steering gear; reg 27: nautical charts and nautical publications; reg 28: records of navigational activities and daily reporting; reg 29: life-saving signals to be used by ships, aircraft or persons in distress; reg 31: danger messages; reg 32: information required in danger messages; reg 33: distress situations, obligations and procedures; reg 34: safe navigation and avoidance of dangerous situations; and reg 34-1: master's discretion.174 General Provisions on Ships' Routeing, adopted by Assembly Resolution A.572(14) on 20 November 1985, as amended.


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IMO is recognized as the only international body responsible for developing guidelines, criteria and regulations on an international level for ships’ routeing systems. States refer proposals for routeing measures to IMO for adoption. Once adopted, States have an obligation to adhere to IMO designated routeing measures and their enforcement has to comply with international law, including UNCLOS. Also, potentially relevant is Regulation 11 concerning ship reporting systems (other than for SAR), intended for use by all ships, or certain classes of ships. As in routeing, IMO is recognized as the only international body for developing guidelines, criteria and regulations on an international level for ship reporting systems. States refer proposals to IMO for adoption. The master is required to comply with reporting requirements. Enforcement must comply with international law, including UNCLOS. Ship reporting could be a useful information management and dissemination tool in relation to activities in the Area.

The COLREGS apply to all vessels navigating on the surface of the high seas and connected navigable waters.175 They provide the rules of the road, which are central to good seamanship and maritime safety generally. They are intended for vessels to maintain safe distances and avoid close quarters situations by prescribing actions to avoid collisions. They also prescribe the use of standardized signs and lights to identify vessels by day and night. The rules provide navigation privileges, to define the relationship between stand-on and give-way vessels. They include the term ‘vessel restricted in her ability to manoeuvre’, defined to mean ‘a vessel which from the nature of her work is restricted in her ability to manoeuvre as required by these Rules and therefore is

unable to keep out of the way of another vessel.’176 Other vessels are required to keep out of the way of such vessels. Examples are provided to illustrate the application of the rule and therefore are not exclusive. Although vessels engaged in mining activities are not expressly mentioned, other functions performed by vessels conducting activities in the Area are included, such as ‘a vessel engaged in dredging, surveying or underwater operations’ and ‘a vessel engaged in a towing operation such as severely restricts the towing vessel and her tow in their ability to deviate from their course’.177

In summary, similar observations on navigation safety can be made as in the case of protection of human life. IMO rules for navigation safety not only protect human life, they also promote orderly use of marine spaces. Routeing measures could be useful area-based management tools. Moreover, the navigational rules can help minimize disruptions to mining activities by enabling vessels restricted in their ability to manoeuvre to remain stand-on vessels.

5.2.3 Maritime security

As indicated at the outset in this report, maritime security is not addressed in-depth and should be the subject of detailed treatment. The discussion in this section merely serves to highlight possible security aspects of seabed mining that could be considered further in a future study.

Maritime safety and security at sea may be closely related and in fact have been treated as such by IMO in the SUA Convention and SUA Protocol. In addition to the need to ensure that the ship is a safe working space at sea and is navigated with

175 COLREGS (n 18) rule 1(a).176 Ibid rule 3(g).177 Ibid.

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due regard to the safety of other ships in its vicinity, there is the additional concern that ships may be exposed to security concerns such as armed robbery, piracy and terrorist activity. Ships may carry weapons and may themselves be weaponized. The 1988 SUA Convention and SUA Protocol were specifically designed to address unlawful threats to the safety of navigation of ships and fixed platforms on the continental shelf and, among other, placed a duty on flag States to legislate a range of offences. The SUA Convention defined ship broadly to include ‘a vessel of any type whatsoever not permanently attached to the sea-bed, including dynamically supported craft, submersibles, or any other floating craft.’178

The 1988 Protocol extended protection to fixed platforms defined to mean ‘an artificial island, installation or structure permanently attached to the seabed for the purpose of exploration or exploitation of resources or for other economic purposes.’179 The range of threats addressed include seizure or control over a ship or fixed platform by force or intimidation, acts of violence on board hat endanger safety, destruction of the ship or platform, and so on.180 For ships, the SUA Convention applies ‘if the ship is navigating or is scheduled to navigate into, through or from waters beyond the outer limit of the territorial sea of a single State, or the lateral limits of its territorial sea with adjacent States.’181 The SUA Protocol applies to fixed platforms on the continental shelf. In 2005 the two instruments were amended to broaden their application to a wider range of threats, including the transportation of weapons of mass destruction (biological, chemical, nuclear).182

The security of vessels, installations and structures engaged in or supporting activities in the Area could be a concern. These operations will take place in remote areas and far from immediate protection or assistance from policing authorities. Interestingly, UNCLOS does not expressly use the term ‘security’ in setting out ISA’s regulatory powers. As observed earlier, in Article 146 of UNCLOS, ISA has a subsidiary regulatory power with respect to protection of human life and this could be interpreted to include concern over the security of personnel involved in activities in the Area. The Draft exploitation regulations establish a requirement for a Health, Safety and Maritime Security Plan, the required content of which has as yet to be developed.183

ISA’s regulation of security aspects, as an integral part of protection of human life, could be interpreted as subsidiary to the regulatory function performed by IMO through the SUA instruments. The SUA Convention is likely applicable to vessels engaged in activities in the Area and flag States that are Parties to SUA have jurisdictional responsibilities. The implications for sponsoring States merit study. However, the SUA Protocol’s limited geographical scope of application on the continental shelf leaves a gap for activities in the Area. This is an area for possible cooperation between ISA and IMO to explore options for extending the protection provided by the SUA Protocol to fixed platforms used in seabed mining in the Area.

178 SUA Convention (n 21) art 1.179 SUA 1988 Protocol (n 22) art 1(3).180 SUA Convention (n 21) art 3; SUA 1988 Protocol (n 22) art 2.181 SUA Convention (n 21 art 4(1).182 SUA Convention as amended by Protocol of 2005 (n 21) art 4(4) amending art 3(2) and introducing art 3bis. Offences were extended to apply mutatis mutandis to the SUA Protocol as amended by Protocol of 2005.183 Draft Exploitation Regulations (n 13) annex VI.


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5.3 Marine environment protection

5.3.1 Operational vessel-source pollution

As observed earlier, Article 145 of UNCLOS, expressly and exclusively empowers ISA to regulate for the prevention, reduction and control of pollution and other hazards to the marine environment from activities in the Area. The provision concerns, inter alia, pollution prevention by referring to ‘harmful effects of drilling, dredging, excavation, disposal of waste, construction and operation or maintenance of installations, pipelines and other devices related to such activities.’ These activities may entail the use of ships as platforms for such activities. In such cases, the protection and preservation of the marine environment may necessitate the regulation of harmful wastes and emissions as a direct result of the operation of ships (e.g., sewage, garbage and air emissions), as distinct from harmful effects produced from the activities in the Area as described in Article 145 and as understood by the Seabed Advisory Opinion. The need for pollution prevention from mining and from shipping in the combined or coordinated operation provides a complementary interface of competencies of ISA and IMO.

As seen earlier, Article 94 of UNCLOS requires the flag State to adopt measures with respect to its ships to ensure that

the master and crew are conversant and compliant with applicable international regulations concerning the prevention, reduction and control of pollution, and in doing so must comply with generally accepted international regulations, procedures and practices. This rule of reference implicitly refers to maritime regulations concerning the management, recording and reporting of waste handling on board ships and other operations that produce environmental impacts, such as MARPOL and BWM Conventions.

MARPOL regulates the discharge of harmful substances from ships,184 but expressly excludes dumping within the meaning of the London Convention and the ‘release of harmful substances directly arising from the exploration, exploitation and associated off-shore processing of sea-bed mineral resources.’185 As will be seen later, dumping is addressed in a separate instrument. MARPOL defines ‘ship’ broadly to include ‘a vessel of any type whatsoever operating in the marine environment and includes hydrofoil boats, air-cushion vehicles, submersibles, floating craft and fixed or floating platforms,’186 unless the flag State provides an exemption as may be permissible under an annex of MARPOL.187 This definition captures some of the vessels likely to be employed in supporting activities in the Area.

The precise operational wastes and emissions produced by ships supporting seabed mining that will be governed

184 Harmful substance is defined as ‘any substance which, if introduced into the sea, is liable to create hazards to human health, to harm living resources and marine life, to damage amenities or to interfere with other legitimate uses of the sea, and includes any substance subject to control by the present Convention.’ MARPOL (n 25) art 2(2). ‘Discharge’ means ‘… means any release howsoever caused from a ship and includes any escape, disposal, spilling, leaking, pumping, emitting or emptying.’ Ibid art 2(3)(a).185 Ibid art 2(3)(b)(i) and (ii).186 Ibid art 2(4).187 Ibid annex I, reg 3.1: ‘Any ship such as hydrofoil, air-cushion vehicle, near-surface craft and submarine craft etc. whose constructional features are such as to render the application of any of the provisions of chapters 3 and 4 of this Annex or section 1.2 of part II-A of the Polar Code relating to construction and equipment unreasonable or impracticable may be exempted by the Administration from such provisions, provided that the construction and equipment of that ship provides equivalent protection against pollution by oil, having regard to the service for which it is intended.

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by maritime regulation remains to be ascertained and will depend on the specific vessels, technologies and operations conducted at sea. In general, ships are subject to detailed regulation under the six MARPOL annexes concerning oil (I), noxious liquid substances carried in bulk (II), harmful substances carried in packaged form III), sewage (IV), garbage (V) and air emissions (VI). The annexes apply to all ships, unless the regulations provide otherwise.188 Annex IV applies to ships on the basis of tonnage and passenger thresholds.189 The wastes addressed are defined in some detail and need not be discussed in depth in this report. Suffice to point out that standards are set for a broad range of wastes that include those banned from release anywhere into the marine environment (e.g., plastics under Annex V), or that may be released under prescribed limited concentration (e.g., oily ballast water), or that are permitted to be released at a distance from the nearest land following treatment (e.g., sewage), or that are not addressed by regulation but for which guidelines are provided (e.g., grey water). As mentioned, the definition of ship is broad to include installations with the effect of extending the application of most pollution prevention rules to such vessels. There are also dedicated rules for garbage from fixed or floating platforms.190

Annex VI on the prevention of air pollution requires more detailed consideration to explain how the interface between ISA and IMO competencies can be expected to occur. In general, Annex VI applies to all ships, unless otherwise stated in specific regulations.191 However, there is a range of emissions from seabed mineral activities that are excluded as follows:

Reg 3.1 Emissions directly arising from the exploration, exploitation and associated offshore processing of sea-bed mineral resources are, consistent with article 2(3)(b)(ii) of the present Convention, exempt from the provisions of this Annex. Such emissions include the following:

3.1.1 emissions resulting from the incineration of substances that are solely and directly the result of exploration, exploitation and associated offshore processing of sea-bed mineral resources, including but not limited to the flaring of hydrocarbons and the burning of cuttings, muds, and/or stimulation fluids during well completion and testing operations, and flaring arising from upset conditions;3.1.2 the release of gases and volatile compounds entrained in drilling fluids and cuttings;

188 For example MARPOL (n 25) annex I, reg 2; annex II, reg 2.1; annex V, reg 2. 189 Ibid annex IV, reg 2.1: ‘The provisions of this Annex shall apply to the following ships engaged in international voyages:

.1 new ships of 400 gross tonnage and above; and

.2 new ships of less than 400 gross tonnage which are certified to carry more than 15 persons; and

.3 existing ships of 400 gross tonnage and above, five years after the date of entry into force of this Annex; and.4 existing ships of less than 400 gross tonnage which are certified to carry more than 15 persons, five years after the date of entry into force of this Annex.’

190 Ibid annex V, reg 5:1 Subject to the provisions of paragraph 2 of this regulation, the discharge into the sea of any garbage is prohibited from fixed or floating platforms and from all other ships when alongside or within 500 m of such platforms.2 Food wastes may be discharged into the sea from fixed or floating platforms located more than 12 nautical miles from the nearest land and from all other ships when alongside or within 500 m of such platforms, but only when the wastes have been passed through a comminuter or grinder. Such comminuted or ground food wastes shall be capable of passing through a screen with openings no greater than 25 mm.

191 Ibid annex VI, chap I, reg 1.


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3.1.3 emissions associated solely and directly with the treatment, handling, or storage of sea-bed minerals; and 3.1.4 emissions from marine diesel engines that are solely dedicated to the exploration, exploitation and associated offshore processing of sea-bed mineral resources.

Reg 3.2 The requirements of regulation 18 of this Annex shall not apply to the use of hydrocarbons which are produced and subsequently used on site as fuel, when approved by the Administration.[emphasis added]

The regulation of emissions under this provision may require close coordination between ISA and IMO, especially with respect to provisions 3 and 4 which may involve the use of multipurpose equipment to support both ship operations and activities more directly related to exploration and exploitation at different times. The range of emitted substances currently regulated by Annex VI include ozone depleting substances, nitrogen oxides, sulphur oxides, particulate matter and volatile organic compounds. Shipboard incineration is also addressed. Recently, IMO adopted the Initial Strategy for the Reduction of Greenhouse Emissions from Ships,192 which will be revised and finalized for adoption in 2023 and in due course will enhance existing energy efficiency and energy use requirements which could have implications for ships supporting activities in the Area. At this time, the energy efficiency regulations do not apply to platforms and drilling rigs,193 but most other types of ships of 400 gross tons and above are captured.

In summary, the MARPOL annexes regulate a broad range of operational wastes, discharges and emissions relevant for activities in the Area. The regulation of air emissions from activities in the Area requires careful consideration to determine what is desirable. Should higher standards for mining than are currently available under Annex VI be necessary, it is likely that IMO would need to address such concerns. The Seabed Advisory Opinion did not include air emissions from activities in the Area in considering disposal, dumping and discharge of sediment, wastes or other effluents.

5.3.2 Antifouling systems

The AFS Convention regulates the use of antifouling systems by ships. Anti-fouling system is defined as ‘a coating, paint, surface treatment, surface, or device that is used on a ship to control or prevent attachment of unwanted organisms.’194 The definition of ship in this instrument is broad to include a vessel of any type whatsoever operating in the marine environment and includes hydrofoil boats, air-cushion vehicles, submersibles, floating craft, fixed or floating platforms, floating storage units (FSUs) and floating production storage and off-loading units (FPSOs),’195 effectively capturing a wide range of essels supporting activities in the Area. However, only ships of 400 gross tonnage and over engaged in international voyages, but excluding fixed or floating platforms, FSUs, and FPSOs, are required to undergo an initial survey and subsequent surveys when anti-fouling systems are changed or replaced.196 International voyage is defined as ‘a voyage by a ship entitled to

192 The IMO GHG Strategy was adopted by Resolution MEPC.304/72 annexed in the Report of the MEPC on its 72nd Session, IMO Doc MEPC 72/17/Add.1 (18 May 2018), annex 11.193 MARPOL (n 25) annex VI, chap IV, reg 19(2.2).194 AFS Convention (n 26) art 2(2).195 Ibid art 2(9).196 Ibid, Annex IV, reg 1(1).

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fly the flag of one State to or from a port, shipyard, or offshore terminal under the jurisdiction of another State.’197

As in the case of other IMO instruments whose application, whether in whole or in part, is confined to particular classes and tonnage of ships on international voyages, the application of survey requirements would have to be extended by the flag State or perhaps required by the sponsoring State, possibly as a requirement under the mining regulations. At this time, it is unclear the extent to which, if at all, the mining regulations’ rules of reference serve to extend the application of this (and other international standards) to all ships engaged in activities in the Area.

5.3.3 Ballast waters

The BWM Convention is aimed at preventing, minimizing and ultimately eliminating the transfer of harmful aquatic organisms and pathogens through the control and management of ships’ ballast water and sediments.198 States Parties ‘shall endeavour to co-operate under the auspices of IMO to address threats and risks to sensitive, vulnerable or threatened marine ecosystems and biodiversity in areas beyond the limits of national jurisdiction in relation to Ballast Water Management’.199 The concern is the uptake of ballast water from one environment and discharge into another, potentially transferring alien or exotic species.200 It would be useful to ascertain the extent to which ballast water exchange in the Area poses threats as in

other marine regions.

As other IMO conventions, the BWMC captures a range of vessels supporting activities in the Area by defining ‘ship’ broadly as ‘a vessel of any type whatsoever operating in the aquatic environment and includes submersibles, floating craft, floating platforms, FSUs and FPSOs’.201 It applies to vessels designed or constructed to carry ballast waters.

In summary, should ballast water exchange in the Area be of concern, the BWM Convention is potentially valuable for minimizing the problems posed elsewhere. If it is desirable to require all ships supporting activities in the Area to be made subject to such a standard, this could be a matter for discussion with IMO considering that it could be deemed to be a high seas navigation issue. The Seabed Advisory Opinion was mindful to avoid unnecessary conflict in regulating activities in the Area in a manner that could create conflict with UNCLOS provisions concerning navigation on the high seas.202

5.3.4 Dumping/disposal of wastes

As observed earlier, in Article 145 of UNCLOS, ISA is expressly named and allocated the responsibility to adopt appropriate rules, regulations and procedures for the effective protection of the marine environment from harmful effects of activities in the Area. These include:

197 Ibid art 2(5).198 BWM Convention (n 27) art 1(1). This is the core obligation of States Parties. ‘Harmful aquatic organisms and pathogens are defined as ‘aquatic organisms or pathogens which, if introduced into the sea including estuaries, or into fresh water courses, may create hazards to the environment, human health, property or resources, impair biological diversity or interfere with other legitimate uses of such areas.’ Ibid art 1(8).199 Ibid art 2(9).200 Ibid annex, reg A3(4) contains an exception with respect to ‘the uptake and subsequent discharge on the high seas of the same Ballast Water and Sediments.’201Ibid art 1(12).202 Seabed Advisory Opinion (n 3) para 96.


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(a) the prevention, reduction and control of pollution and other hazards to the marine environment, including the coastline, and of interference with the ecological balance of the marine environment, particular attention being paid to the need for protection from harmful effects of such activities as drilling, dredging, excavation, disposal of waste, construction and operation or maintenance of installations, pipelines and other devices related to such activities;(b) the protection and conservation of the natural resources of the Area and the prevention of damage to the flora and fauna of the marine environment. (emphasis added)

Consistently, in setting out ISA’s regulatory scope with respect to the protection of the marine environment, UNCLOS Annex III provides:

Rules, regulations and procedures shall be drawn up in order to secure effective protection of the marine environment from harmful effects directly resulting from activities in the Area or from shipboard processing immediately above a mine site of minerals derived from that mine site, taking into account the extent to which such harmful effects may directly result from drilling, dredging, coring and excavation and from disposal, dumping and discharge into the marine environment of sediment, wastes or other effluents.203 (emphasis added)

Clearly, ISA is the one and only competent international organization in these provi-sions. This competence is further suppor-ted by Article 209 of UNCLOS, although placed in Part XII (rather than in Part XI on the Area), which provides that ‘internatio-nal rules, regulations and procedures shall

be established in accordance with Part XI to prevent, reduce and control pollution of the marine environment from activities in the Area’ and in Article 215 of UNCLOS with respect to their enforcement, also as governed by Part XI. (emphasis added)

The phrase ‘disposal of waste’ in Article 145(a) of UNCLOS is comprehended in the Article 1 definition of dumping which includes ‘any deliberate disposal of wastes or other matter from vessels, … platforms or other man-made structures at sea’ (emphasis added).204 Article 1 of UNCLOS excludes disposal of wastes from the operations of vessels, platforms and man-made structures, but includes ‘wastes or other matter transported by or to vessels, … platforms or other man-made structures at sea, operating for the purpose of disposal of such matter or derived from the treatment of such wastes or other matter on such vessels, … platforms or structures.’205 Although the Article 1 general definition of dumping seems to include the disposal of waste generally, the drafting of Article 145 of UNCLOS is unambiguous in allocating regulatory power over disposal of wastes from activities in the Area to ISA. The Seabed Advisory Opinion confirms this interpretation.

In the careful and in-depth explanation of what is included by activities in the Area, the Seabed Disputes Chamber conside-red wastes that might be generated during exploration and exploitation. Interestingly, it did not consider the deliberate dispo-sal of platforms and man-made structures following decommissioning, possibly be-cause this action is not captured by the no-tions of exploration and exploitation. ISA’s regulatory authority in Article 145(a) of UNCLOS on this matter is limited to ‘cons-truction and operation or maintenance of installations’. The potential logical conse-

203 UNCLOS (n 1), annex III, art 14(2)(f).204 Ibid art 1(5)(a)(i).205 Ibid art 1(5)(b)(i).

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quence is that ‘any deliberate disposal of vessels, … platforms or other man-made structures at sea’206 following termination of activities in the Area may well be captured by Article 210 on pollution by dumping, the London Convention and London Protocol. Although the London Convention and Pro-tocol do not apply to the disposal of wastes from or related to the exploration, exploi-tation and offshore processing of seabed mineral resources, both instruments inclu-de disposal of vessels, platforms and other man-made structures at sea in the definition of dumping. The London Protocol definition includes ‘any abandonment or toppling at site of platforms or other man-made struc-tures at sea, for the sole purpose of delibe-rate disposal.’207

In recent years States Parties to the London Convention have considered alternatives to at sea disposal208 and since the adoption of the Hong Kong Convention, although not yet in force,209 the expectation is that efforts will be invested into safe and environmentally sustainable ship recycling on land. Also, IMO has developed guidelines for the removal of offshore installations and structures, but they do not appear to apply to areas beyond national jurisdiction.210 The London Convention and Protocol regime could provide guidance on how ISA might regulate waste disposal from activities in the Area. The London Protocol provides a framework for waste assessment that includes a waste

prevention audit, consideration of waste management options, chemical-physical-biological processes, dump site selection, assessment of potential effects, monitoring and permitting.211 Guidelines for waste assessment have been adopted.212

In summary, ISA enjoys exclusive authority to regulate the disposal of wastes from activities in the Area under Article 145 of UNCLOS. Although construction and operation or maintenance of installations fall within ISA’s regulatory power, the situation is less clear with respect to disposal of vessels, platforms and other man-made structures at sea. Rather, the disposal of vessels, platforms and structures at sea (to the extent that it is to occur at all) appears to fall under the general definition of dumping in the UNCLOS, and the London Convention and Protocol. Finally, waste assessment guidelines developed under the London Convention and Protocol could serve as a useful model for the development of regulations for the disposal of waste generated by activities in the Area.

5.4 Seafarer training standards

Another area of possible interface between ISA and IMO competencies is the training of personnel on board ships and installations supporting activities in the Area. Although related to human safety,

206 Ibid art 1(5)(a)(ii).207 London Protocol (n 24) art 1(4)(1)(4).208 London Convention Special Meeting Resolution LC.56(SM) on Sea Disposal of Vessels.209 Hong Kong Convention (n 28) Article 2(7) defines ‘ship’ as ‘a vessel of any type whatsoever operating or having operated in the marine environment and includes submersibles, floating craft, floating platforms, self elevating platforms, Floating Storage Units (FSUs), and Floating Production Storage and Offloading Units (FPSOs), including a vessel stripped of equipment or being towed.’210 Guidelines and Standards for the Removal of Offshore Installations and Structures on the Continental Shelf and in the Exclusive Economic Zone, Assembly Resolution A.672(16) adopted on 19 October 1989. 211 London Protocol (n 24) annex 2.212 Waste Assessment Guidelines under the London Convention and Protocol (IMO, 2014). The Guidelines provide for eight distinct steps: (1) waste characterization; (2) waste prevention audit and management options; (3) action list; (4) selection of a dump site; (5) impact assessment; (6) permitting system; (7) permit conditions; and (8) monitoring. These include guidelines for dredged materials, which could be relevant depending on technologies used to exploit resources of the Area. See also Revised Specific Guidelines for the Assessment of Vessels, adopted by LC 38/16 (2016).


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this topic should be considered separately as it relates to human competence in operations and seaworthiness of the vessel in the interests of safety, security and environment protection. The STCW Convention and accompanying STCW Code are the principal IMO instruments for standards of training and certification of seafarers, with a focus on the master, officers and engine room. They apply to seafarers on board sea-going vessels to ensure they are qualified and fit for their duties from the perspectives of safety of life, property safety and marine environment protection.213 Standards are set out for the master and deck department, engine department, radio communication and radio personnel, and general provisions for firefighting, occupational safety, security, medical care and survival.

In summary, IMO training regulations for seafarers cover a range of workers, but not all personnel likely to be engaged in activities in the Area. The LTC is empowered to determine whether the proposed plans of work for exploration provide for effective protection of human health and safety and this could be understood to include the full range of personnel working at sea.214 ISA’s supplementary power under Article 146 of UNCLOS could be used in a complementary manner to address the non-seafarer competencies needed on board ships and installations engaged in activities in the Area.215

5.5 Accommodation of activities in the Area

Activities in the Area are ‘to be carried with reasonable regard for other activities in the marine environment.’216 Article 147 of UNCLOS concerning accommodation of activities in the Area and in the marine environment is designed to prevent, to the extent possible, and manage conflicts of ocean uses in the Area. More specifically, installations used for activities in the area are subject to certain conditions of which the following are relevant for this report:

(a) such installations shall be erected, emplaced and removed solely in accordance with this Part and subject to the rules, regulations and procedures of the Authority. Due notice must be given of the erection, emplacement and removal of such installations, and permanent means for giving warning of their presence must be maintained;(b) such installations may not be established where interference may be caused to the use of recognized sea lanes essential to international navigation or in areas of intense fishing activity;(c) safety zones shall be established around such installations with appropriate markings to ensure the safety of both navigation and the installations. The configuration and location of such safety zones shall not be such as to form a belt impeding the lawful access of shipping to particular maritime zones or navigation along international sea lanes; …217

A few observations are to be made. While referring to installations in the Area, Article 147 of UNCLOS does not mention artificial islands and structures, as in Article 60 of UNCLOS with respect to the EEZ and continental shelf. The lack of reference

213 STCW Convention (n 29) art 1(2).214 Nodules Regulations (n 10) reg 21(4)(a); Sulphides Regulations (n 11) reg 23(4)(a); Cobalt Regulations (n 12) reg 23(4)(a). 215 Draft Exploitation Regulations (n 13) draft reg 32(5) provides that the contractor shall ensure that: ‘All of its personnel, before assuming their duties, have the necessary experience, training and qualifications and are able to conduct their duties safely, competently and in compliance with the Rules of the Authority and the terms of the exploitation contract.’216 UNCLOS (n 1) art 147(1).217 Ibid art 147(2).

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to artificial islands is understandable as they are likely unrealistic with respect to activities in the Area. However, structures for use in activities in the Area are realistic. Logically, structures used in activities in the Area ought to be regulated by ISA, but Article 147 of UNCLOS leaves open the possibility that such structures might be subject to other international standards, for example with respect to marking.

Further, certain aspects of coastal state regulation of installations and structures in the EEZ and on the continental shelf are guided by various international standards, such as the discharge of certain wastes addressed by MARPOL. The removal of abandoned or disused installations and structures is to take ‘into account any generally accepted international standards established in this regard by the competent international organization.’218 Similarly, the breadth of safety zones around the artificial islands, installations and structures is to take ‘into account applicable international standards’ and the breadth shall not exceed 500 metres unless ‘authorized by generally accepted international standards or as recommended by the competent international organization.’219 Consistently, all ships are required to respect the safety zones and to comply with ‘generally accepted international standards regarding navigation in the vicinity …’220

It is also possible that installations in the Area, in addition to safety zones, may require routeing measures for their safety and for the safety of other users of the marine environment. Other users of the marine environment have a counterpart duty of due regard to activities in the Area.221 The Draft exploitation regulations provide that

ISA, ‘in conjunction with member States, shall take measures to ensure that other activities in the Marine Environment shall be conducted with reasonable regard for the activities of Contractors in the Area.’222 If routeing measures for maritime safety in the Area are needed, such as areas to be avoided, they will have to be sought from IMO under the authority of SOLAS Chapter V, as it is the only organization responsible for designating such measures. Routeing measures are typically requested by coastal States in their capacity as IMO Member States and as States Parties to SOLAS. It is arguable that sponsoring States, by analogy to coastal States, and acting in their capacity as States Parties to SOLAS, should submit routeing proposals to IMO. Since such measures would be directed to international shipping on the high seas, if and when adopted they would likely be in the form of recommendations. Sponsoring States do not enjoy jurisdiction over international shipping on the high seas. Flag States enjoy exclusive jurisdiction and control over their ships on the high seas. An interesting variation arises where the activities in the Area are conducted by the Enterprise as an organ of ISA, although initially through joint ventures.223 Although ISA has a cooperation agreement with IMO, reliance on the State sponsoring the joint venture would be likely necessary.

Ideally, international rules and standards for the safety of installations and structures and navigation in their vicinity should be uniform and for this purpose it makes sense for ISA and IMO to work together, as appropriate. There may be a range of novel structures and machinery (e.g., excavators) employed in activities in the Area and that may require dedicated standards and assistance from IMO. IMO guidelines for

218 Ibid at art 60(3).219 Ibid at art 60(5).220 Ibid at art 60(6).221 Ibid art 147(3).222 Draft Exploitation Regulations (n 13) draft reg 31(2).223 Implementation Agreement (n 2), annex, section 2.2.


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the removal of offshore installations and structures, although applicable to the continental shelf and in the EEZ, could assist ISA in discharging its responsibilities under Article 147 of UNCLOS. 5.6 Liability and

compensation for pollution of the marine environment

As observed earlier, ISA has extensive regulatory power for the prevention of pollution of the marine environment from activities in the Area and this includes the development of a responsibility and liability regime. The discussion does not discuss the current or proposed environmental regulations in the exploration regulations and Draft exploitation regulations and the options for a liability regime for the conduct of activities in the Area. The latter task has already been discharged by other studies conducted in cooperation with ISA.224 Rather, the discussion now explores a possible interface between ISA’s and IMO’s competencies to develop civil liability regimes respectively for seabed mining and international shipping.

ISA has the power to impose penalties on contractors for serious contractual violations225 and ‘[T]he contractor shall have responsibility or liability for any damage arising out of wrongful acts in the conduct of its operations, account being taken of contributory acts or omissions by ISA.’226 Indeed, ISA itself may be held responsible or liable ‘for any damage arising out of wrongful acts in the exercise of its powers and functions … account being taken of contributory acts or omissions by the contractor.’ In both the contractor’s and ISA’s case, liability

is for the actual amount of damage. This discussion now turns to how ISA’s power to develop a responsibility and liability regime interfaces with IMO’s analogous power with respect to international shipping. UNCLOS does not contain a provision for IMO’s potential responsibility or liability as in the case of ISA in the exercise of its regulatory mandate.

An important provision for the development of responsibility and liability regimes for pollution of the marine environment is Article 235(3) of UNCLOS, which provides:

With the objective of assuring prompt and adequate compensation in respect of all damage caused by pollution of the marine environment, States shall cooperate in the implementation of existing international law and the further development of international law relating to responsibility and liability for the assessment of and compensation for damage and the settlement of related disputes, as well as, where appropriate, development of criteria and procedures for payment of adequate compensation, such as compulsory insurance or compensation funds.

In this provision States Parties have a duty to cooperate in the implementation and further development of the international law on responsibility, liability and compensation of environmental damage, as well as the related structures and procedures. In the absence of express mention, but by necessary implication, it is reasonable to consider that this duty would be discharged through the instrumentality of the organizations having the pertinent remit. The competencies to develop primary environmental rules respectively enjoyed by ISA with respect

224 For example, see Neil Craik, ‘Determining the Standard for Liability for Environmental Harm from Deep Seabed Mining Activities’, Liability Issues for Deep Seabed Mining Series, Paper No. 2 (Centre for International Governance Innovation, October 2018).225 UNCLOS (n 1) annex III, art 18.226 Implementation Agreement (n 2) art 22.

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to activities in the Area and IMO with regard to international shipping on the high seas, potentially interface with respect to the development of secondary rules of environmental responsibility and liability. It is interesting to note that the London Convention and Protocol have provisions committing States Parties to develop procedures for the assessment of liability.227

The guidance provided by the Seabed Advisory Opinion with respect to the meaning of ‘activities in the Area’ serves to define the scope of ISA’s commensurate power to develop a responsibility and liability regime within its remit. Its regulatory remit includes:

Rules, regulations and procedures shall be drawn up in order to secure effective protection of the marine environment from harmful effects directly resulting from activities in the Area or from shipboard processing immediately above a mine site of minerals derived from that mine site, taking into account the extent to which such harmful effects may directly result from drilling, dredging, coring and excavation and from disposal, dumping and discharge into the marine environment of sediment, wastes or other effluents.228

ISA has taken tentative steps towards the development of a responsibility and liability regime. The principal approach to channelling liability for damage to the marine environment appears to be based on a contractual approach by including

a provision in the standard clauses for the exploitation contract, holding the contractor liable to ISA:

… for the actual amount of any damage, including damage to the Marine Environment, arising out of its wrongful acts or omissions, and those of its employees, subcontractors, agents and all persons engaged in working or acting for them in the conduct of its operations under this contract, including the costs of reasonable measures to prevent and limit damage to the Marine Environment, account being taken of any contributory acts or omissions by the Authority or third parties.229

The provision also provides for the liability of ISA to the contractor for ISA’s wrongful acts. The main text of the Draft exploitation regulations does not contain a provision on environmental liability. The inclusion of an Environmental Performance Guarantee in the Draft exploitation regulations does not concern responsibility or liability for marine environmental damage.230

In comparison, IMO has a number of liability regimes for international shipping with respect to damage to the marine environment. However, the extent of their application to environmental damage caused on the high seas and the Area needs to be considered. It should be pointed out at the outset that the liability regimes in international shipping are guided by the principles of strict and limited liability as a matter of public policy. The rationale is to encourage ship owning and provision

227 ‘In accordance with the principles of international law regarding State responsibility for damage to the environment of other States or to any other area of the environment, caused by dumping of wastes and other matter of all kinds, the Contracting Parties undertake to develop procedures for the assessment of liability and the settlement of disputes regarding dumping.’ London Convention (n 23) art X. ‘In accordance with the principles of international law regarding State responsibility for damage to the environment of other States or to any other area of the environment, the Contracting Parties undertake to develop procedures regarding liability arising from the dumping or incineration at sea of wastes or other matter’. London Protocol (n 24) art 15228 UNCLOS (n 1) annex III, art 17(2)(f ).229 Draft Exploitation Regulations (n 13) annex 10, Standard Clauses for Exploitation Contract, section 7.230 Ibid draft reg 26.


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of vital services to maritime trade and insurability. The liability limits are updated periodically. It is also important to observe that the civil liability conventions are not as widely subscribed by States as IMO’s pollution prevention conventions, such as MARPOL.

The LLMC, as amended by the Protocol of 1996, concerns general maritime claims against a designated class of persons. The LLMC establishes the general right to the ship-owner (defined as the owner, charterer, manager and operator of a seagoing ship) and the insurer to limit their liability as a defence against claims for loss damage or injury.231 To deny the ship-owner the right to limitation of liability, a claimant has to cross a high threshold: ‘[A] person liable shall not be entitled to limit his liability if it is proved that the loss resulted from his personal act or omission, committed with the intent to cause such loss, or recklessly and with knowledge that such loss would probably result.’232 Prior to the amendment introduced by the Protocol of 1996, the right to limitation could be denied if it was proved that the owner was in actual fault or privy to the loss, and accompanied by low limitation amounts, this produced much litigation. The 1996 amendment was specifically intended to establish an unbreakable right, i.e., subject to a very high standard with the burden to deny entitlement on the claimant, while at the same time raising the limits of liability.233 A recent decision

by a Spanish Court took a contrary view and has triggered the inclusion of a new output at a future meeting of the Legal Committee.234 This is a significant development as it will affect the limitation of liability regimes under the various IMO civil liability conventions.

The claims relevant for environmental liability concern ‘the raising, removal, destruction or the rendering harmless of a ship which is sunk, wrecked, stranded or abandoned, including anything that is or has been on board such ship’, ‘removal, destruction or the rendering harmless of the cargo of the ship,’ and ‘claims of a person other than the person liable in respect of measures taken in order to avert or minimize loss for which the person liable may limit his liability in accordance with this Convention, and further loss caused by such measures.’235 The claims do not have geographical limits but oil pollution claims covered by the CLC Convention are not covered236 and the LLMC does not apply to ‘floating platforms constructed for the purpose of exploring or exploiting the natural resources of the sea-bed or the subsoil thereof’.237 The liability limits are set out in the LLMC on the basis of a tonnage formula.238 Claims and defences are advanced in the domestic courts of States Parties; however, State Parties may modify the domestic application of the LLMC, for example by limiting its application to specific persons.239 Once a limitation fund is established by the owner in a domestic

231 Ibid art 1.232 LLMC (n 30) art 4.233 See The Travaux Préparatoires of the LLMC Convention, 1976 and of the Protocol of 1996, compiled by Francesco Berlingieri (CMI, undated), 121 et seq., online: <file:///C:/Users/chirc/Downloads/Travaux-Preparatoirse-of-the-LLMC-Convention-1976-and-of-the-Protocol-of-1996.pdf>.234 Draft Report of the Legal Committee on the Work of its 106th Session, IMO Doc LEG 106/WP.1/Add.1 (29 March 2019), 7. The LEG Committee approved the ‘Proposal to Add a New Output under the Work Programme on “Unified Interpretation on the Test for Breaking the Owner's Right to Limit Liability under the IMO Conventions”’ Submitted by Greece, the Marshall Islands, International Chamber of Shipping and International Group of Protection and Indemnity Associations, IMO Doc LEG 106/13 (11 January 2019).235 LLMC (n 30) art 2.236 Ibid art 3.237 Ibid art 15(5)(b).238 Ibid art 6.239 Ibid art 15(1).

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court, the claims are attached to it. Thus, while some vessels engaged in supporting seabed mining, such as OSVs and bulkers, are covered, the LLMC Convention does not apply to offshore installations and structures engaged in seabed mining. Nor is the contractor a beneficiary of the LLMC, unless the contractor is the ship-owner, charterer, manager or operator of the ship concerned with maritime claims.

Differently from the LLMC, the CLC, IOPC Funds Conventions (including IOPC Supplementary Fund) constitute a system compensation of claims of damage resulting from pollution of the marine environment. The operational Funds at this time are the 1992 Fund and the Supplementary Fund, the latter enjoying a far smaller subscription rate than the former.240 They are significantly more limited in application than the LLMC. The CLC and Funds apply to pollution damage outside the ship from persistent oil carried on tankers as cargo or bunkers during a voyage following carriage in relation to damage suffered by State Parties within the territorial sea and EEZ. However, ‘preventive measures, wherever taken, to prevent or minimize such damage’, which could be on the high seas, are also compensable.241 Liability is strict, with limited defences,242 but subject to limitation of liability,243 and similarly to the LLMC is virtually unbreakable.244 Similarly to the LLMC, once a fund is establish by the owner in a domestic court, the claims attach to it. The range of eligible claims is broad and in addition to reasonable

claims for cleanup, reinstatement costs for environmental damage and preventive measures, may also include loss of income. The CLC ship has to have insurance cover. The IOPC Funds Convention and IOPC Supplementary Fund provide two additional tiers of compensation in the event the limitation fund established under the CLC Convention is inadequate to meet the claims advanced against it.245 Based at IMO, the Funds enjoy legal personality in State Parties. Differently from the CLC Convention, which constitutes the first tier of compensation, i.e., from the ship-owner and insurer, the IOPC Funds consist of the cargo owners’ share channelled through contributions levied on specified amounts of imported oil in State Parties.246 The geographical scope and types of claims that may be advanced are similar to the CLC Convention. The levels of compensation are substantially higher in the 1992 Fund and even higher in the IOPC Supplementary Fund. In summary, the liability regimes of the CLC and IOPC Funds (including IOPC Supplementary Fund) providing compensation for damage from pollution to the marine environment do not extend to damage to the marine environment of the high seas and the Area and to the cargoes of minerals extracted from the Area.

Modelled on the CLC Convention and as its title suggests, the Bunker Convention provides a strict liability regime for environmental damage from bunker fuel carried on ships of 1000 tons or more.247 It has the same compulsory

240 At the time of writing 115 States are Parties to both the CLC and IOPC Fund 1992 and 32 States to the Supplementary Fund. IOPC Funds (2019), online: <https://www.iopcfunds.org/about-us/membership/pdf/>.241CLC Convention (n 31) art II(b).242 Ibid art III.243 Ibid art V(1).244 Ibid art V(2).245 IOPC Funds Convention (n 33) art 2.246 Ibid art 10.247Bunker Convention (n 35) art 3(1).


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insurance requirement,248 geographical scope249 and limited defences250 as the CLC and IOPC Funds Conventions. Thus, preventive measures on the high seas with respect to oil lost there and to mitigate impacts in the EEZ and territorial sea are compensable.251 Ship-owners and their insurers continue to enjoy the right to limit liability under any applicable national or international regime such as the LLMC.252 In summary, the Bunker Convention is potentially applicable to ships operating and providing support to activities in the Area, but only insofar as the loss of bunker fuel threatens the EEZ and territorial sea of neighbouring States.

Also modelled on the CLC and IOPC Funds Convention, the HNS Convention and Protocol were adopted to address a range of hazardous and noxious substances not covered by the other compensation regimes, but similarly based on strict,253 but limited liability.254 The HNS Convention and Protocol are not yet in force. The liability regime anticipates a two-tiered system consisting of a first tier of ship-owner liability based on compulsory insurance255 and second tier consisting of a fund consisting of contributions from

importers of such substances.256 Like the IOPC Funds, the HNS Fund is similarly recognized as a legal person in States Parties.257 The HNS Convention has a similar geographical scope of application with respect to damage to the marine environment as the CLC, IOPC Funds and Bunker Conventions and thus includes preventive measures on the high seas.258

In conclusion, both ISA and IMO enjoy competencies for the development of civil liability regimes for compensation for pollution damage to the marine environment in their respective remits. ISA’s remit is limited to activities in the Area, including in situ transportation, whereas IMO’s concerns international shipping and including ex situ transportation of recovered minerals. While the development of a civil liability regime for seabed mining is in its infancy, the civil liability regimes for international shipping are mature, but narrowly applicable to specific threats and generally not to damage of the marine environment on the high seas. However, they could serve to inform the development of a future liability regime for seabed mining.

248 Ibid art 7.249 Ibid art 2(b).250 Ibid art 3(3).251 Ibid.252 Ibid art 6.253 HNS Convention & Protocol (n 34) art 7.254 Ibid art 9.255 Ibid art 12.256 Ibid art 16.257 Ibid art 13.258 Ibid art 3.

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6. FINDINGS, ISSUES AND FURTHER RESEARCH NEEDED

6.1 Findings and issues

The general analysis of pertinent provisions concerning the interface of competencies of ISA and IMO in UNCLOS and ISA regulations in the previous sections are summarized in Annex 3. The principal findings are presented below.

• UNCLOS, Article 1: Definitions

The Seabed Advisory Opinion has impacted on the definitions in this provision (see Annex 1). The definition of ‘activities in the Area’ intended to refer to exploration and exploitation activities has been clarified in some depth and excludes processing and transportation of minerals ex situ. The reference to ‘disposal of wastes’ in the definition of ‘dumping’ must be read against the allocation of this power to ISA in Article 145 of UNCLOS. The definition of ISA’s regulatory power over ‘disposal of wastes’ from activities in the Area does not include the disposal of vessels, platforms and other structures in the Area. Disposal of these is governed by the London Convention and Protocol. Recycling of ships will be governed by the Hong Kong Convention when this instrument enters into force.

• UNCLOS, Article 94: Duties of the flag State

Ships used as platforms for activities in the Area and on the high seas are subject to the exclusive jurisdiction and control

of the flag State. That jurisdiction has to be exercised with reference to IMO conventions concerning maritime safety (SOLAS; LL; COLREGS), manning and training (SOLAS; STCW) and environment protection (MARPOL; AFS; BWM).

• UNCLOS, Article 145: Protection of the marine environment

The ISA’s power to regulate protection of the marine environment from activities in the Area, as defined by the Seabed Advisory Opinion, is an exclusive power. The power concerns the regulation of drilling, dredging, excavation, disposal of waste, construction and operation or maintenance of installations, pipelines and other devices related to such activities.

Measures taken by ISA for the protection and preservation of the marine environment will be complemented by IMO regulation with respect to the use of ships to support the above activities in the Area. Several IMO conventions (MARPOL annexes I-V; AFS; BWM; London Convention and Protocol) apply to a range of ship types, including floating platforms, floating and submerged structures, submersibles and craft.

There are possible gaps. A concern with the AFS and BWM Conventions is that they apply to international voyages, possibly necessitating extension of the rules to cabotage that is to vessels supporting activities in the Area whose port of departure and port of return are the same, or if different are located within the same jurisdiction. A range of emissions


51

from activities in the Area are not covered by Annex VI and the Seabed Advisory Opinion did not include air emissions in considering disposal of wastes. However, the regulation of operation of installations (over which it has express power) arguably should include emissions.

• UNCLOS, Article 146: Protection of human life

The ISA’s regulatory power for the protection of human life is a supplementary power, rather than an exclusive or a primary power. This implies that the lead regulators of this subject-matter are other competent international organizations. Safety of life at sea (defined broadly to include all matters addressed by SOLAS, LL and SAR), as well as maritime security, and seafarer training (STCW) are IMO competencies. Occupational health and safety of seafarers is an ILO competence. There is extensive maritime safety regulation for which IMO has competence which is directly relevant to vessels that may conduct or provide support for activities in the Area, such as several SOLAS chapters and specific codes, e.g., for MODUs and OSVs. On maritime security, while the SUA Convention likely applies to vessels engaged in activities in the Area, the SUA Protocol’s focus on fixed platforms on the continental shelf excludes its application to activities in the Area.

The ISA’s mandate more narrowly concerns regulation for the protection of human life in relation to resource exploration and exploitation activities in the Area. To date, there appears to be ISA reliance on existing international standards through a rule of reference in the standard clauses of exploration contracts. The Draft exploitation regulations anticipate reliance on IMO and ILO standards on health and safety matters. A concern is that aspects of SOLAS and the LL Convention apply to ships on international voyages, thus necessitating extension to cabotage (where applicable) by the sponsoring State.

A further dimension of the protection of human life is maritime security on board vessels and installations, which is possibly also captured by ISA’s subsidiary safety regulatory power. IMO's SUA instruments are potentially relevant, although the application of the SUA Protocol is limited to the continental shelf. Maritime security is an area for possible cooperation between ISA and IMO.

• UNCLOS, Article 147: Accommo-dation of activities in the Area and in the marine environment

IMO has area-based management (routing) and reporting (ship reporting system) tools that could be useful for the accommodation of activities in the Area. IMO is the organization responsible for routeing and ship reporting. If these tools are needed for safety, it is likely that the sponsoring State, as an IMO Member State and SOLAS State Party, would have the standing necessary to propose their adoption by IMO. ISA has exclusive regulatory power over the erection, emplacement and removal of installations engaged in activities in the Area. IMO's guidelines for the removal of offshore installations and structures, although applicable to the continental shelf and the EEZ, could be informative for ISA in exercising its regulatory power.

• UNCLOS, Article 209: Pollution from activities in the Area

Article 145 of UNCLOS assigns exclusive regulatory responsibility for pollution from activities in the Area to ISA. Article 209(1) reinforces this regulatory role. Article 209(2) places an obligation on States to exercise legislative jurisdiction over their vessels, installations and structures to protect the marine environment from activities in the Area, in a manner that is no less effective than ISA regulations.

52


Other rules may play a role. Regulation 1(5) of the Nodules, Sulphides and Cobalt Regulations provides that the regulations ‘may be supplemented by further rules, regulations and procedures’ and that the regulations are subject to UNCLOS, the 1994 Agreement and other rules of international law not incompatible with UNCLOS.

• UNCLOS, Article 210: Pollution by dumping

While IMO is the lead organization with respect to dumping in general, ISA enjoys exclusive authority to regulate the disposal of wastes from activities in the Area under Article 145 of UNCLOS. Although construction and operation or maintenance of installations fall within ISA’s regulatory power, the situation is less clear with respect to the disposal of vessels, platforms and other man-made structures at sea. The deliberate disposal, abandonment and toppling on site of vessels, platforms and other man-made structures at sea are likely captured by Article 210, the London Convention and Protocol regimes, and possibly other instruments such as the Hong Kong Convention when it enters into force. The London Convention and Protocol regimes have built substantial experience on waste management that could be of value to ISA. In particular, the waste assessment guidelines, now mandatory for London Convention and Protocol States Parties, are likely a useful model to consider in the development of regulations for the disposal of waste generated by activities in the Area.

• UNCLOS, Article 211: Pollution from vessels

Rules of reference to IMO's regulations on vessel source pollution are applicable to ships supporting activities in the Area, subject to specific competencies that are exclusive to ISA with respect to the

regulation of activities in the Area. The regulation of the various forms of pollution consequential to the operation of ships generally is the responsibility of IMO. The Draft exploitation regulations subject contractors to IMO regulations with respect to pollution prevention from ships, thus ensuring complementarity.

• UNCLOS, Article 212: Pollution from or through the atmosphere

In considering the nature of ‘disposal of wastes’ in Article 145 of UNCLOS, the Seabed Advisory Opinion did not explore the extent to which emissions, as distinct from other discharges, are captured by ISA’s environmental regulatory power over activities in the Area. It is conceivable that the reference to ‘operation of installations’ includes emissions from their operation. In any case, MARPOL Annex VI does not apply to emissions directly arising from the exploration, exploitation and associated offshore processing of sea-bed mineral resources. It is possible that there is a regulatory gap with respect to air emissions from activities in the Area.

• UNCLOS, Article 235: Responsibi-lity and liability

Although their respective competencies are not expressly mentioned in this provision, ISA and IMO enjoy complementary competencies for the development of civil liability regimes concerning pollution of the marine environment, respectively from activities in the Area and international shipping. The ISA’s competence is limited to activities in the Area as defined by the Seabed Advisory Opinion. This includes in situ transportation of extracted minerals. IMO’s competence commences with ex situ transportation of recovered minerals. IMO’s mature strict liability regimes, although of minimal application to high seas areas, could serve as a model for the development of a liability regime for mining in the Area.


53

• UNCLOS, Annex III, Art 17 (2)(f) and Annex IV, Article 1: Transportation of minerals ex situ

The Seabed Advisory Opinion concluded that the transporting on the high seas, processing on land and marketing of minerals recovered from the Area are not part of ‘activities in the Area’. Only transportation in situ is included in activities in the Area. The consequence is that IMO rather than ISA enjoys regulatory competence over ex situ transportation systems.

• Nodules, Sulphides and Cobalt Regulations, Regulation 1: Use of terms and scope

Regulation 1(3): The definitions of exploration and exploitation as defined in the mining regulations have been interpreted and narrowed down by the Seabed Advisory Opinion to exclude processing and ex situ transportation. The reference to transportation systems suggests regulatory interface with IMO regulations, both for transport using ships in situ and ex situ.

Regulation 1(5): The rule of reference in this provision incorporates other regulations (including non-ISA) that may be applicable. The regulations usefully anticipate that on the protection and preservation of the marine environment they may be supplemented by other rules of international law.

• Draft Exploitation Regulations, Regulation 30: Safety, labour and health standards

This draft regulation employs rules of references that engage several IMO conventions and codes, as well as the ILO’s MLC, including: SOLAS; LL; MARPOL; AFS; BWM; COLREGS; and STCW. The several codes that apply by extension

include BWM Code, ISM Code and STCW Code. The requirement for compliance with national maritime laws serves to emphasize the relevance of domesticated international maritime regulations and covers rules applicable to cabotage where shipping supporting seabed mining is domestic. IMO training regulations for seafarers (STCW Code) cover a range of personnel, but not all workers engaged in activities in the Area. The MLC is potentially applicable. The ISA’s supplementary power under UNCLOS Article 146 could be used to address the non-seafarer competencies needed on board ships and installations engaged in activities in the Area.

The future development of guidelines for contractors’ safety management systems for seabed mining has a useful precedent in the ISM Code. The ISM Code, a SOLAS instrument, could serve as a model for the development of safety management system for seabed mining. This is another area where IMO experience and expertise could be helpful.

• Draft Exploitation Regulations, Regulation 31: Reasonable regard for other activities in the marine environment

It is possible that routeing measures could be useful area-based management tools to enable ISA to discharge its obligation in this provision. In this case, ISA in conjunction and likely through its member States (as States Parties to SOLAS), would need to proceed through IMO.

6.2 Further research needed

This report has set out a preliminary roadmap for understanding the respective competencies of ISA and IMO concerning activities in the Area at a high level of generality. While the scope of the report is comprehensive, the potential points of

54


interface identified are not exhaustive. Several matters concerning the interface of competencies have been identified and likely merit further studies, including:

• Which and how do ISA regulations depend and rely upon or draw from IMO regulations and generally accepted practices? In particular, a comprehensive study of specific IMO regulations and generally accepted practices that will apply side-by-side ISA regulations is likely necessary.

• Determination of what installations and structures employed in activities in the Area may be characterized as ‘ships’ is necessary to facilitate coordination between the applicable inspection regimes for seabed mining and international shipping.

• Further identification of IMO codes, guidelines and generally accepted practices that could serve to inform, supplement or assist the development of ISA regulations and guidelines would be helpful. There is much that ISA regulatory efforts could learn from IMO's opus. Several examples were given in this report (e.g., London Convention and London Protocol waste assessment guidelines). In addition to those, for example, and while outside the remit of this report, it is conceivable that IMO approach to pollution emergency preparedness and response could be useful for ISA to consider. This could assist the development of the Draft exploitation regulations Annex V Emergency

Response and Contingency Plan requirements.

• The maritime security dimensions of seabed mining and the range of applicable instruments need careful consideration, as this is an area of likely overlapping competence. A study will likely assist development of the Draft exploitation regulations Annex VI Health, Safety and Security Plan requirements.

• Although the work of ILO was outside the remit of this report, a study of the extent to which the range of workers engaged in seabed mining will be captured by the MLC would likely assist ISA in developing expectations for the Draft exploitation regulations Annex VI Health, Safety and Security Plan.

55

7. CONCLUSION

ISA and IMO competencies are highly complementary as they interface with respect to activities in the Area. As the competent international organization for the regime of the Area, ISA is central to the seabed mining regime and functions as the regulator of resource exploration and exploitation activities. Those activities require the use of a broad range of conventional and emerging technologies, including the use of ships as technological platforms themselves. IMO is central to the regime for international shipping and regulation and is the medium through which States adopt international regulations, rules and standards for maritime safety, vessel-source pollution, security and the development of civil liability and compensation regimes, as well as in the interests of public order in all ocean spaces. IMO’s functions are closely tied to the regulation of conventional and emerging maritime technologies. IMO has a mature and comprehensive regulatory framework for all aspects of shipping. Accordingly, ISA’s regulatory functions and UNCLOS’s frequent use of rules of reference to IMO standards produce a symbiotic relationship.

In understanding how the regulatory mandates of the two organizations interface, it is necessary to appreciate the limits of the respective competencies. The Seabed Advisory Opinion has helped significantly in clarifying the contours of ‘activities in the Area’ as referring to exploration and exploitation of the non-living resources on the seabed and subsoil of the Area and specific actions. The Seabed Disputes Chamber was sensitive to

the need to avoid conflict with the regime of navigation on the high seas. Exploration and exploitation include a range of actions requiring regulation in the interests of safe and environmentally acceptable development, such as drilling, dredging, coring, excavation, lifting minerals to the surface, separating water from minerals, disposal of wastes, onsite transportation and construction and maintenance of offshore infrastructure that includes installations, pipelines and related devices.

In turn, this understanding of activities in the Area helps identify where and how IMO regulation provides supportive and complementary functions for ISA regulations. These include the regulation of ship design and construction, equipment requirements and standards, vessel routeing and reporting, collision avoidance, prevention of pollution through operational wastes and emissions, safe manning requirements and crew certification and training, SAR, and so on. IMO regulation is a mixture of prescribed standards (e.g., waste discharges in the marine environment) and goal-based (e.g., construction standards), frequently with intermixed mandatory requirements and recommendations.

The complementarity of the regulatory interface between ISA and IMO is exemplified in the protection and preservation of the marine environment from activities in the Area. The harmful effects produced from the activities in the Area as described in Article 145 and as understood by the Seabed Advisory Opinion, require ISA regulatory

56


intervention through the exploration and exploitation regulations. The ships deployed to support activities in the Area and to export the minerals will in turn produce harmful wastes and emissions as a direct result of their operation (e.g., oil, noxious liquid substances, sewage, garbage and atmospheric releases), which are regulated by MARPOL. Moreover, the disposal of wastes from activities in the Area and the London Convention and Protocol regimes also potentially interface in a complementary manner. The need for pollution prevention from mining and from shipping in the combined or coordinated operation provides a complementary

interface of competencies of ISA and IMO.It is possible that there could be occasional regulatory overlaps, despite the clear general allocation of competencies. More likely, ISA is in a position to benefit from the regulatory experience of IMO and the London Convention and Protocol as it proceeds with the development of exploitation regulations and the subsidiary instruments that will be needed, such as waste assessment guidelines. These situations would be best addressed on a case-by-case basis by ISA and IMO in accordance with their agreement on cooperation mentioned at the outset of this report.259

259 IMO-ISA Agreement (n 6).


57

AN

NEX

1: A

CTIV

ITIE

S IN

TH

E A

REA

Prov

ision

Activ

ity (e

mph

asis

adde

d)Se

abed

Adv

isory

Opi

nion

(em

phas

is a

dded

)

UN

CLO

S Ar

t 1(3

)“a

ctiv

ities

in t

he A

rea”

mea

ns a

ll ac

tiviti

es o

f ex

plor

atio

n fo

r, an

d ex

ploi

tatio

n of

, the

reso

urce

s of t

he A

rea.

Para

83:

‘Som

e in

dica

tion

of th

e m

eani

ng o

f the

term

“act

iviti

es in

the

Area

” m

ay b

e fo

und

in A

nnex

IV, a

rticl

e 1,

par

agra

ph 1

…’

UN

CLO

S Ar

t 133

(a) "

reso

urce

s" m

eans

all

solid

, liqu

id o

r gas

eous

min

eral

reso

urce

s in

situ

in th

e Ar

ea a

t or b

enea

th th

e se

abed

, inc

ludi

ng p

olym

etal

lic

nodu

les;

(b)

reso

urce

s, w

hen

reco

vere

d fro

m t

he A

rea,

are

ref

erre

d to

as

"min

eral

s".

Para

82:

‘The

two

defin

ition

s … d

o no

t ind

icat

e w

hat i

s mea

nt b

y “e

xplo

ratio

n”

and

“exp

loita

tion”

.’

UN

CLO

S Ar

t 145

Nec

essa

ry

mea

sure

s sh

all

be

take

n in

ac

cord

ance

w

ith

this

Conv

entio

n w

ith re

spec

t to

activ

ities

in th

e Ar

ea to

ens

ure

effe

ctiv

e pr

otec

tion

for

the

mar

ine

envi

ronm

ent

from

har

mfu

l ef

fect

s w

hich

may

aris

e fr

om s

uch

activ

ities

. To

this

end

the

Auth

ority

sh

all a

dopt

app

ropr

iate

rule

s, re

gula

tions

and

pro

cedu

res

for i

nter

al

ia:

(a)

the

prev

entio

n, r

educ

tion

and

cont

rol o

f po

llutio

n an

d ot

her

haza

rds

to th

e m

arin

e en

viro

nmen

t, in

clud

ing

the

coas

tline

, and

of

inte

rfere

nce

with

the

ecol

ogic

al b

alan

ce o

f the

mar

ine

envi

ronm

ent,

parti

cula

r at

tent

ion

bein

g pa

id t

o th

e ne

ed f

or p

rote

ctio

n fro

m

harm

ful e

ffect

s of s

uch

activ

ities

as d

rillin

g, d

redg

ing,

exc

avat

ion,

di

spos

al o

f w

aste

, con

stru

ctio

n an

d op

erat

ion

or m

aint

enan

ce

of i

nsta

llatio

ns,

pipe

lines

and

oth

er d

evic

es r

elat

ed t

o su

ch

activ

ities

;(b

) the

pro

tect

ion

and

cons

erva

tion

of th

e na

tura

l res

ourc

es o

f the

Ar

ea a

nd th

e pr

even

tion

of d

amag

e to

the

flora

and

faun

a of

the

mar

ine

envi

ronm

ent.

Para

85:

‘Arti

cle

145

of t

he C

onve

ntio

n, w

hich

pre

scrib

es t

he t

akin

g of

“[n

]ec

essa

ry m

easu

res

. . .

with

resp

ect t

o ac

tiviti

es in

the

Area

to e

nsur

e ef

fect

ive

prot

ectio

n fo

r the

mar

ine

envi

ronm

ent f

rom

har

mfu

l effe

cts

whi

ch m

ay a

rise

from

suc

h ac

tiviti

es”,

indi

cate

s th

e ac

tiviti

es in

resp

ect o

f whi

ch th

e Au

thor

ity

shou

ld a

dopt

rul

es,

regu

latio

ns a

nd p

roce

dure

s. Th

ese

activ

ities

inc

lude

: “d

rillin

g, d

redg

ing,

exc

avat

ion,

dis

posa

l of

was

te,

cons

truc

tion

and

oper

atio

n or

mai

nten

ance

of

inst

alla

tions

, pip

elin

es a

nd o

ther

dev

ices

re

late

d to

suc

h ac

tiviti

es”.

In th

e vi

ew o

f the

Cha

mbe

r, th

ese

activ

ities

are

in

clud

ed in

the

notio

n of

“ac

tiviti

es in

the

Are

a”.’

58


UN

CLO

S An

nex

III,

Art 1

7 (2

)(f)

Rule

s, re

gula

tions

and

pro

cedu

res s

hall

be d

raw

n up

in o

rder

to

secu

re e

ffect

ive

prot

ectio

n of

the

mar

ine

envi

ronm

ent f

rom

ha

rmfu

l effe

cts d

irect

ly re

sulti

ng fr

om a

ctiv

ities

in th

e Ar

ea o

r fr

om s

hipb

oard

pro

cess

ing

imm

edia

tely

abo

ve a

min

e si

te o

f m

iner

als d

eriv

ed fr

om th

at m

ine

site,

taki

ng in

to a

ccou

nt th

e ex

tent

to

whi

ch s

uch

harm

ful e

ffect

s m

ay d

irect

ly re

sult

from

dril

ling,

dr

edgi

ng, c

orin

g an

d ex

cava

tion

and

from

dis

posa

l, du

mpi

ng

and

disc

harg

e in

to th

e m

arin

e en

viro

nmen

t of s

edim

ent,

was

tes

or o

ther

effl

uent

s.

Para

86:

Thi

s pro

visio

n ‘se

ts o

ut th

e cr

iteria

for t

he ru

les,

regu

latio

ns a

nd

proc

edur

es c

once

rnin

g pr

otec

tion

of th

e m

arin

e en

viro

nmen

t to

be d

raw

n up

by

the

Auth

ority

giv

es fu

rther

use

ful i

ndic

atio

ns o

f wha

t is i

nclu

ded

in th

e no

tion

of “a

ctiv

ities

in th

e Ar

ea”.’

Para

88:

‘…“s

hipb

oard

pro

cess

ing

imm

edia

tely

abo

ve a

min

e si

te o

f m

iner

als

deriv

ed fr

om th

at m

ine

site

” is

to b

e co

nsid

ered

as

incl

uded

in

“act

iviti

es in

the

Are

a”. A

s the

afo

rem

entio

ned

list o

f act

iviti

es re

fers

with

out

dist

inct

ion

to th

e ha

rmfu

l effe

cts

resu

lting

dire

ctly

from

“act

iviti

es in

the

Area

” and

from

“shi

pboa

rd p

roce

ssin

g”, t

he tw

o ar

e to

be

seen

as

part

of

the

sam

e ki

nd o

f act

iviti

es.

UN

CLO

S An

nex

IV,

Art 1

The

Ente

rpris

e is

the

orga

n of

the

Auth

ority

whi

ch sh

all c

arry

out

ac

tiviti

es in

the

Area

dire

ctly,

pur

suan

t to

artic

le 1

53, p

arag

raph

2(

a), a

s w

ell a

s th

e tr

ansp

ortin

g, p

roce

ssin

g an

d m

arke

ting

of

min

eral

s re

cove

red

from

the

Are

a.

Para

84:

‘Thi

s pro

visio

n di

stin

guis

hes

“act

iviti

es in

the

Are

a” w

hich

the

Ente

rpris

e ca

rrie

s out

dire

ctly

pur

suan

t to

artic

le 1

53, p

arag

raph

2(a

), of

th

e Co

nven

tion,

from

oth

er a

ctiv

ities

with

whi

ch th

e En

terp

rise

is en

trust

ed,

nam

ely,

the

trans

porti

ng, p

roce

ssin

g an

d m

arke

ting

of m

iner

als r

ecov

ered

fr

om th

e A

rea.

Con

sequ

ently

, the

latt

er a

ctiv

ities

are

not

incl

uded

in th

e no

tion

of “

activ

ities

in th

e A

rea”

refe

rred

to in

Ann

ex IV

, arti

cle

1, p

arag

raph

1,

of t

he C

onve

ntio

n.’

Para

87:

‘The

pro

visio

ns c

onsid

ered

in th

e pr

eced

ing

para

grap

hs [r

efer

ring

to p

aras

83

to 8

6] c

onfir

m th

at p

roce

ssin

g an

d tr

ansp

ortin

g as

men

tione

d in

Ann

ex IV

, art

icle

1, p

arag

raph

1, o

f the

Con

vent

ion

are

excl

uded

fr

om th

e no

tion

of “

activ

ities

in th

e A

rea”

. The

y se

t out

list

s of a

ctiv

ities

w

hose

har

mfu

l effe

cts a

re in

dica

ted

as d

irect

ly re

sulti

ng fr

om su

ch a

ctiv

ities

. Th

ese

lists

may

be

seen

as a

n in

dica

tion

of w

hat t

he C

onve

ntio

n co

nsid

ers

as in

clud

ed in

the

notio

n of

“act

iviti

es in

the

Area

”. Th

ese

activ

ities

incl

ude:

dr

illin

g, d

redg

ing,

cor

ing,

and

exc

avat

ion;

disp

osal

, dum

ping

and

disc

harg

e in

to th

e m

arin

e en

viro

nmen

t of s

edim

ent,

was

tes

or o

ther

effl

uent

s; a

nd

cons

truc

tion

and

oper

atio

n or

mai

nten

ance

of i

nsta

llatio

ns, p

ipel

ines

an

d ot

her d

evic

es re

late

d to

suc

h ac

tiviti

es.


59

Nod

ules

&

Sulp

hide

s R

eg

ula

-tio

ns,

Reg

3(b)

an

d (a

)

“Exp

lora

tion”

mea

ns s

earc

hing

for

dep

osits

of

poly

met

allic

no

dule

s in

the

Are

a w

ith e

xclu

sive

rig

hts,

the

ana

lysi

s of

suc

h de

posi

ts,

the

test

ing

of c

olle

ctin

g sy

stem

s an

d eq

uipm

ent,

proc

essi

ng

faci

litie

s an

d tr

ansp

orta

tion

syst

ems,

an

d th

e ca

rryi

ng o

ut o

f stu

dies

of t

he e

nviro

nmen

tal,

tech

nica

l, ec

onom

ic,

com

mer

cial

and

oth

er a

ppro

pria

te fa

ctor

s th

at m

ust b

e ta

ken

into

ac

coun

t in

expl

oita

tion.

“Exp

loita

tion”

mea

ns t

he r

ecov

ery

for

com

mer

cial

pur

pose

s of

po

lym

etal

lic n

odul

es in

the

Are

a an

d th

e ex

trac

tion

of m

iner

als

ther

efro

m, i

nclu

ding

the

cons

truc

tion

and

oper

atio

n of

min

ing,

pr

oces

sing

and

tran

spor

tatio

n sy

stem

s fo

r th

e pr

oduc

tion

and

mar

ketin

g of

met

als.

Para

91:

‘Th

ese

prov

ision

s of

the

Nod

ules

Reg

ulat

ions

and

the

Sul

phid

es

Regu

latio

ns in

clud

e in

the

not

ion

of e

xplo

ratio

n th

e te

stin

g of

pro

cess

ing

faci

litie

s and

tran

spor

tatio

n sy

stem

s and

in th

at o

f exp

loita

tion

the

cons

truct

ion

and

oper

atio

n of

pro

cess

ing

and

trans

porta

tion

syst

ems.’

Para

92:

‘Th

e sc

ope

of “

expl

orat

ion”

and

“ex

ploi

tatio

n” a

s de

fined

in

the

Regu

latio

ns se

ems b

road

er th

an th

e “a

ctiv

ities

in th

e Ar

ea” e

nvisa

ged

in A

nnex

IV

, arti

cle

1, p

arag

raph

1, a

nd in

arti

cle

145

and

Anne

x III

, arti

cle

17, p

arag

raph

2

(f), o

f the

Con

vent

ion.

Pro

cess

ing

and

tran

spor

tatio

n ar

e in

clud

ed in

the

notio

n of

exp

lora

tion

and

expl

oita

tion

of th

e Re

gula

tions

, but

not

in th

at

of “

activ

ities

in th

e A

rea”

in th

e pr

ovis

ion

of A

nnex

IV o

f the

Con

vent

ion,

w

hich

has

just

bee

n ci

ted.

’

Para

93:

‘The

diff

eren

ce in

sco

pe o

f “ac

tiviti

es in

the

Area

” in

the

prov

ision

s of

the

Con

vent

ion

and

in t

he N

odul

es R

egul

atio

ns a

nd t

he S

ulph

ides

Re

gula

tions

mak

es it

nec

essa

ry to

exa

min

e th

e re

leva

nt p

rovi

sions

with

in th

e br

oade

r fra

mew

ork

of th

e Co

nven

tion.

It w

ould

see

m p

refe

rabl

e to

con

sider

th

at th

e m

eani

ng o

f “ac

tiviti

es in

the

Area

” in

artic

les

139

and

Anne

x III

, arti

cle

4, p

arag

raph

4, o

f the

Con

vent

ion

is co

nsist

ent w

ith th

at o

f arti

cle

145

and

Anne

x III

, arti

cle

17, p

arag

raph

2(f)

, and

Ann

ex IV

, arti

cle

1, p

arag

raph

1, r

athe

r th

an w

ith th

at o

f “ex

plor

atio

n” a

nd “e

xplo

itatio

n” in

the

two

Regu

latio

ns. T

he

afor

emen

tione

d ar

ticle

s of t

he C

onve

ntio

n an

d of

Ann

exes

III a

nd IV

, all b

elon

g to

the

sam

e le

gal i

nstru

men

t. Th

ey w

ere

nego

tiate

d by

the

sam

e pa

rties

and

ad

opte

d at

the

sam

e tim

e. I

t th

eref

ore

seem

s re

ason

able

to

assu

me

that

th

e m

eani

ng o

f an

expr

essio

n (o

r the

exc

lusio

n of

cer

tain

act

iviti

es fr

om th

e sc

ope

of t

hat

expr

essio

n) in

one

pro

visio

n al

so a

pplie

s to

the

oth

ers.

The

Regu

latio

ns a

re in

stru

men

ts s

ubor

dina

te to

the

Conv

entio

n, w

hich

, if n

ot

in c

onfo

rmity

with

it, s

houl

d be

inte

rpre

ted

so a

s to

ens

ure

cons

iste

ncy

with

its

pro

visi

ons.

The

y m

ay,

neve

rthe

less

be

used

to

clar

ify a

nd

supp

lem

ent c

erta

in a

spec

ts o

f the

rele

vant

pro

visio

ns o

f the

Con

vent

ion.

’

60


Nod

ules

&

Sulp

hide

s R

eg

ula

-tio

ns,

Reg

3(b)

an

d (a

)

Para

94:

‘In

light

of t

he a

bove

, the

exp

ress

ion

“act

iviti

es in

the

Area

”, in

the

cont

ext o

f bot

h ex

plor

atio

n an

d ex

ploi

tatio

n, in

clud

es, fi

rst o

f all,

the

reco

very

of

min

eral

s fro

m th

e se

abed

and

thei

r lift

ing

to th

e w

ater

surfa

ce.’

Para

95:

‘Act

iviti

es d

irect

ly c

onne

cted

with

thos

e m

entio

ned

in th

e pr

evio

us

para

grap

h su

ch a

s th

e ev

acua

tion

of w

ater

fro

m t

he m

iner

als

and

the

prel

imin

ary

sepa

ratio

n of

mat

eria

ls o

f no

com

mer

cial

inte

rest

, inc

ludi

ng

thei

r di

spos

al a

t se

a, a

re d

eem

ed t

o be

cov

ered

by

the

expr

essi

on

“act

iviti

es i

n th

e A

rea”

. “P

roce

ssin

g”,

nam

ely,

the

proc

ess

thro

ugh

whi

ch

met

als

are

extra

cted

from

the

min

eral

s an

d w

hich

is n

orm

ally

con

duct

ed a

t a

plan

t situ

ated

on

land

, is

excl

uded

from

the

expr

essio

n “a

ctiv

ities

in th

e Ar

ea”.

This

is co

nfirm

ed b

y th

e w

ordi

ng o

f Ann

ex IV

, arti

cle

1, p

arag

raph

1, o

f the

Co

nven

tion

as w

ell a

s by

info

rmat

ion

prov

ided

by

the

Auth

ority

at t

he re

ques

t of

the

Cha

mbe

r.’

Para

96:

‘Tra

nspo

rtat

ion

to p

oint

s on

land

from

the

part

of

the

high

sea

s su

perja

cent

to

the

part

of

the

Are

a in

whi

ch t

he c

ontr

acto

r op

erat

es

cann

ot b

e in

clud

ed in

the

not

ion

of “

activ

ities

in t

he A

rea”

, as

it w

ould

be

inc

ompa

tible

with

the

exc

lusio

n of

tra

nspo

rtatio

n fro

m “

activ

ities

in

the

Area

” in

Ann

ex IV

, arti

cle

1, p

arag

raph

1, o

f th

e C

onve

ntio

n. H

owev

er,

tran

spor

tatio

n w

ithin

that

par

t of t

he h

igh

seas

, whe

n di

rect

ly c

onne

cted

w

ith e

xtra

ctio

n an

d lif

ting,

sho

uld

be in

clud

ed in

act

iviti

es in

the

Are

a. In

th

e ca

se o

f pol

ymet

allic

nod

ules

, thi

s ap

plie

s, fo

r in

stan

ce, t

o tra

nspo

rtatio

n be

twee

n th

e sh

ip o

r in

stal

latio

n w

here

the

liftin

g pr

oces

s en

ds a

nd a

noth

er

ship

or i

nsta

llatio

n w

here

the

evac

uatio

n of

wat

er a

nd th

e pr

elim

inar

y se

para

tion

and

disp

osal

of m

ater

ial t

o be

disc

arde

d ta

ke p

lace

. The

incl

usio

n of

tran

spor

tatio

n to

poi

nts

on la

nd

coul

d cr

eate

an

unne

cess

ary

confl

ict

with

pro

visi

ons

of t

he C

onve

ntio

n su

ch a

s th

ose

that

con

cern

nav

igat

ion

on th

e hi

gh s

eas.’

Para

97:

‘One

con

sequ

ence

of t

he e

xclu

sion

of w

ater

eva

cuat

ion

and

disp

osal

of

mat

eria

l fro

m “a

ctiv

ities

in th

e Ar

ea” w

ould

be

that

the

activ

ities

con

duct

ed

by th

e co

ntra

ctor

whi

ch a

re a

mon

g th

e m

ost h

azar

dous

to th

e en

viro

nmen

t w

ould

be

excl

uded

from

thos

e to

whi

ch th

e re

spon

sibili

ties o

f the

spon

sorin

g St

ate

appl

y. Th

is w

ould

be

cont

rary

to th

e ge

nera

l obl

igat

ion

of S

tate

s Par

ties,

unde

r ar

ticle

192

of

the

Conv

entio

n, “

to p

rote

ct a

nd p

rese

rve

the

mar

ine

envi

ronm

ent”.

’


61

AN

NEX

2: R

ULE

S O

F RE

FERE

NCE

TO

IMO

’S R

EGU

LATO

RY

COM

PETE

NCI

ES IN

UN

CLO

S

Part

Art.

Prov

ision

Rule

of r

efer

ence

(em

phas

is a

dded

)Pe

rtine

nt in

stru

men

ts

II:

Terr

i-to

rial

Sea

and

Con-

tig

uo

us

Zone

21La

ws

and

reg-

ulat

ions

of t

he

coas

tal

Stat

e re

latin

g to

in-

noce

nt

pas-

sage

(2) S

uch

law

s and

regu

latio

ns sh

all n

ot a

pply

to th

e de

sign,

con

stru

ctio

n, m

anni

ng o

r equ

ipm

ent o

f fo

reig

n sh

ips u

nles

s the

y are

giv

ing

effe

ct to

gen

eral

ly a

ccep

ted

inte

rnat

iona

l rul

es o

r sta

ndar

ds.

(4) ‘

Fore

ign

ship

s ex

erci

sing

the

right

of i

nnoc

ent p

assa

ge th

roug

h th

e te

rrito

rial s

ea s

hall

com

ply

with

all

such

law

s an

d re

gula

tions

and

all

gene

rally

acc

epte

d in

tern

atio

nal r

egul

atio

ns re

latin

g to

the

prev

entio

n of

col

lisio

ns a

t sea

.

(2)

SOLA

S an

d co

des;

LL

Con

vent

ion

& In

tact

St

abili

ty C

ode;

STC

W

Con

vent

ion

& ST

CW

C

ode

(4) C

OLR

EGS

22

Sea

lane

s an

d tra

ffic

sepa

ra-

tion

sche

mes

in

the

terr

itori-

al se

a

(3) I

n th

e de

signa

tion

of se

a la

nes a

nd th

e pr

escr

iptio

n of

traf

ficse

para

tion

sche

mes

und

er th

is ar

ticle

, the

coa

stal

Sta

te sh

all t

ake

into

acc

ount

:(a

) the

reco

mm

enda

tions

of t

he c

ompe

tent

inte

rnat

iona

l org

aniz

atio

n;

(a)

SOLA

S (C

hap

V,

Rout

eing

); C

OLR

EGS

(Rul

e 10

)

23

Fore

ign

nucl

e-ar

-po

we

red

ship

s an

d sh

ips

carr

ying

nu

clea

r or o

th-

er

inhe

rent

ly

dang

erou

s or

no

xiou

s su

b-st

ance

s

Fore

ign

nucl

ear-p

ower

ed sh

ips a

nd sh

ips c

arry

ing

nucl

ear o

r oth

erin

here

ntly

dan

gero

us o

r nox

ious

sub

stan

ces

shal

l, w

hen

exer

cisin

g th

e rig

ht o

f inn

ocen

t pas

sage

th

roug

h th

e te

rrito

rial

sea,

car

ry d

ocum

ents

and

obs

erve

spe

cial

pre

caut

iona

ry m

easu

res

esta

blis

hed

for s

uch

ship

s by

inte

rnat

iona

l agr

eem

ents

.SO

LAS

(with

IAEA

)

III:

Stra

its

Use

d fo

r In

tern

atio

-na

l N

avi-

gatio

n

39D

utie

s of s

hips

…

dur

ing

tran-

sit p

assa

ge

(2) S

hips

in tr

ansit

pas

sage

shal

l:(a

) com

ply

with

gen

eral

ly a

ccep

ted

inte

rnat

iona

l reg

ulat

ions

,pr

oced

ures

and

pra

ctic

es fo

r saf

ety

at s

ea, i

nclu

ding

the

Inte

rnat

iona

l Reg

ulat

ions

for P

reve

ntin

g Co

llisi

ons

at S

ea;

(b) c

ompl

y w

ith g

ener

ally

acc

epte

d in

tern

atio

nal r

egul

atio

ns,

proc

edur

es a

nd p

ract

ices

for t

he p

reve

ntio

n, re

duct

ion

and

cont

rol o

f pol

lutio

n fr

om s

hips

.

(a) S

OLA

S &

code

s; L

L C

onve

ntio

n &

Inta

ct

Stab

ility

C

ode;

C

OL-

REG

S (b

) M

ARPO

L;

BWM

C

onve

ntio

n;

AFS

Co

vent

ion

62


IV:

Arch

i-p

ela

gic

St

ates

54D

utie

s of s

hips

du

ring

thei

r pa

ssag

e, e

tc.

Artic

les 3

9 …

app

lies m

utat

is m

utan

dis t

o ar

chip

elag

ic se

a la

nes p

assa

ge.

Sam

e as

39(

2)(a

) & (b

)

V: E

EZ60

Artifi

cial

is-

land

s, in

stal

-la

tions

an

d st

ruct

ures

in

th

e ex

clus

ive

ec

on

om

ic

zone

(3) …

Any

inst

alla

tions

or s

truct

ures

whi

ch a

re a

band

oned

or d

isuse

d sh

all b

e re

mov

ed to

ens

ure

safe

ty o

f na

viga

tion,

tak

ing

into

acc

ount

any

gen

eral

ly a

ccep

ted

inte

rnat

iona

l st

anda

rds

esta

blis

hed

in th

is re

gard

by

the

com

pete

nt in

tern

atio

nal o

rgan

izat

ion.

(5

) Th

e br

eadt

h of

the

saf

ety

zone

s sh

all

be d

eter

min

ed b

y th

e co

asta

l St

ate,

tak

ing

into

ac

coun

t ap

plic

able

int

erna

tiona

l st

anda

rds.

Suc

h zo

nes

shal

l be

desig

ned

to e

nsur

e th

at

they

are

rea

sona

bly

rela

ted

to th

e na

ture

and

func

tion

of th

e ar

tifici

al is

land

s, in

stal

latio

ns o

r st

ruct

ures

, and

sha

ll no

t exc

eed

a di

stan

ce o

f 500

met

res

arou

nd th

em, m

easu

red

from

eac

h po

int o

f the

ir ou

ter e

dge,

exc

ept a

s aut

horiz

ed b

y ge

nera

lly a

ccep

ted

inte

rnat

iona

l sta

ndar

ds o

r as

reco

mm

ende

d by

the

com

pete

nt in

tern

atio

nal o

rgan

izat

ion.

(6) A

ll sh

ips m

ust r

espe

ct th

ese

safe

ty zo

nes a

nd sh

all c

ompl

y w

ithge

nera

lly a

ccep

ted

inte

rnat

iona

l sta

ndar

ds re

gard

ing

navi

gatio

n in

the

vici

nity

of a

rtifi

cial

is

land

s, in

stal

latio

ns, s

truc

ture

s an

d sa

fety

zon

es.

(3)

Lond

on C

onve

ntio

n &

Prot

ocol

; IM

O G

uide

-lin

es a

nd S

tand

ards

for

th

e Re

mov

al o

f Offs

hore

In

stal

latio

ns a

nd S

truc-

ture

s on

the

Con

tinen

tal

Shel

f and

in th

e Ex

clus

i-ve

Eco

nom

ic Z

one

(5)

IMO

Res

olut

ion

on

Safe

ty Z

ones

and

Saf

e-ty

of N

avig

atio

n ar

ound

O

ffsho

re

Inst

alla

tions

an

d St

ruct

ures

(6) S

OLA

S; C

OLR

EGS

VI:

Con-

tin

en

tal

Shel

f80

Artifi

cial

is-

land

s, in

sta-

llatio

ns

and

stru

ctur

es

on

the

cont

inen

-ta

l she

lf

Artic

le 6

0(3)

, (5)

and

(6) a

pply

mut

atis

mut

andi

s to

arti

ficia

l isla

nds,

inst

alla

tions

and

stru

ctur

es

on th

e co

ntin

enta

l she

lf.Sa

me

as 6

0(3)

, (5)

& (6

)


63

VII:

Hig

h Se

as94

Dut

ies

of t

he

flag

Stat

e

(3) E

very

Sta

te sh

all t

ake

such

mea

sure

s for

ship

s flyi

ng it

s flag

as a

rene

cess

ary

to e

nsur

e sa

fety

at s

ea w

ith re

gard

, int

er a

lia, t

o:(a

) the

con

stru

ctio

n, e

quip

men

t and

seaw

orth

ines

s of s

hips

;(b

) the

man

ning

of s

hips

, lab

our c

ondi

tions

and

the

train

ing

ofcr

ews,

taki

ng in

to a

ccou

nt th

e ap

plic

able

inte

rnat

iona

l ins

trum

ents

;(c

) the

use

of s

igna

ls, th

e m

aint

enan

ce o

f com

mun

icat

ions

and

the

prev

entio

n of

col

lisio

ns.

(4) S

uch

mea

sure

s sha

ll in

clud

e th

ose

nece

ssar

y to

ens

ure:

(a

) tha

t eac

h sh

ip, b

efor

e re

gist

ratio

n an

d th

erea

fter a

t app

ropr

iate

inte

rval

s, is

surv

eyed

by

a qu

alifi

ed su

rvey

or o

f shi

ps, a

nd h

as o

n bo

ard

such

cha

rts, n

autic

al p

ublic

atio

ns a

nd n

avig

atio

nal

equi

pmen

t and

inst

rum

ents

as a

re a

ppro

pria

te fo

r the

safe

nav

igat

ion

of th

e sh

ip;

(b) t

hat e

ach

ship

is in

the

char

ge o

f a m

aste

r and

offi

cers

who

pos

sess

app

ropr

iate

qua

lifica

tions

, in

par

ticul

ar in

sea

man

ship

, nav

igat

ion,

com

mun

icat

ions

and

mar

ine

engi

neer

ing,

and

that

the

crew

is a

ppro

pria

te in

qua

lifica

tion

and

num

bers

for t

he ty

pe, s

ize, m

achi

nery

and

equ

ipm

ent o

f th

e sh

ip;

(c) t

hat t

he m

aste

r, of

ficer

s an

d, to

the

exte

nt a

ppro

pria

te, t

he c

rew

are

fully

con

vers

ant w

ith

and

requ

ired

to o

bser

ve th

e ap

plic

able

inte

rnat

iona

l reg

ulat

ions

con

cern

ing

the

safe

ty o

f lif

e at

sea

, the

pre

vent

ion

of c

ollis

ions

, the

pre

vent

ion,

red

uctio

n an

d co

ntro

l of

mar

ine

pollu

tion,

and

the

mai

nten

ance

of c

omm

unic

atio

ns b

y ra

dio.

(5) I

n ta

king

the

mea

sure

s ca

lled

for i

n pa

ragr

aphs

3 a

nd 4

eac

h St

ate

is re

quire

d to

con

form

to

gen

eral

ly a

ccep

ted

inte

rnat

iona

l reg

ulat

ions

, pro

cedu

res

and

prac

tices

and

to ta

ke a

ny

step

s whi

ch m

ay b

e ne

cess

ary

to se

cure

thei

r obs

erva

nce.

(3) S

TCW

Con

vent

ion

& ST

CW

Cod

e; M

LC(4

) ST

CW

C

onve

ntio

n &

STC

W C

ode;

SO

LAS

and

ISM

C

ode;

C

OL-

REG

S; M

ARPO

L; B

WM

C

onve

ntio

n(5

) All

of th

e ab

ove,

and

ge

nera

lly a

ll IM

O c

on-

vent

ions

, cod

es a

nd g

ui-

delin

es.

XII:

Prot

ec-

tion

and

Pres

erva

-tio

n of

the

Mar

ine

En-

viro

nmen

t

210

Pollu

tion

by

dum

ping

(4)

Stat

es,

actin

g es

peci

ally

thr

ough

com

pete

nt i

nter

natio

nal

orga

niza

tions

or

dipl

omat

ic

conf

eren

ce,

shal

l en

deav

our

to

esta

blish

gl

obal

an

d re

gion

al

rule

s,

stan

dard

s an

d re

com

men

ded

prac

tices

and

pro

cedu

res

to p

reve

nt, r

educ

e an

d co

ntro

l suc

h po

llutio

n. S

uch

rule

s, st

anda

rds

and

reco

mm

ende

d pr

actic

es a

nd p

roce

dure

s sh

all b

e re

-exa

min

ed fr

om ti

me

to ti

me

as n

eces

sary

.(6

) Nat

iona

l law

s, re

gula

tions

and

mea

sure

s sha

ll be

no

less

effe

ctiv

e in

pre

vent

ing,

redu

cing

and

co

ntro

lling

such

pol

lutio

n th

an th

e gl

obal

rule

s and

stan

dard

s.

(4),

(6) L

ondo

n C

onve

n-tio

n &

Prot

ocol

64


XII:

Prot

ec-

tion

and

Pres

erva

-tio

n of

the

Mar

ine

En-

viro

nmen

t

211

Pollu

tion

from

ve

ssel

s

(1)

Stat

es,

actin

g th

roug

h th

e co

mpe

tent

int

erna

tiona

l or

gani

zatio

n or

gen

eral

dip

lom

atic

co

nfer

ence

, sha

ll es

tabl

ish in

tern

atio

nal r

ules

and

sta

ndar

ds t

o pr

even

t, re

duce

and

con

trol

pollu

tion

of t

he m

arin

e en

viro

nmen

t fro

m v

esse

ls an

d pr

omot

e th

e ad

optio

n, i

n th

e sa

me

man

ner,

whe

reve

r app

ropr

iate

, of r

oute

ing

syst

ems d

esig

ned

to m

inim

ize th

e th

reat

of a

ccid

ents

w

hich

mig

ht c

ause

pol

lutio

n of

the

mar

ine

envi

ronm

ent,

incl

udin

g th

e co

astli

ne, a

nd p

ollu

tion

dam

age

to th

e re

late

d in

tere

sts

of c

oast

al S

tate

s. Su

ch ru

les

and

stan

dard

s sh

all,

in th

e sa

me

man

ner,

be re

-exa

min

ed fr

om ti

me

to ti

me

as n

eces

sary

.(2

) Sta

tes s

hall

adop

t law

s and

regu

latio

ns fo

r the

pre

vent

ion,

redu

ctio

n an

d co

ntro

l of p

ollu

tion

of t

he m

arin

e en

viro

nmen

t fro

m v

esse

ls fly

ing

thei

r fla

g or

of

thei

r re

gist

ry. S

uch

law

s an

d re

gula

tions

shal

l at l

east

hav

e th

e sa

me

effe

ct a

s tha

t of g

ener

ally

acc

epte

d in

tern

atio

nal r

ules

an

d st

anda

rds

esta

blis

hed

thro

ugh

the

com

pete

nt in

tern

atio

nal o

rgan

izat

ion

or g

ener

al

dipl

omat

ic c

onfe

renc

e.(5

) Coa

stal

Sta

tes,

for t

he p

urpo

se o

f enf

orce

men

t as

prov

ided

for i

n se

ctio

n 6,

may

in re

spec

t of

the

ir ex

clus

ive

econ

omic

zon

es a

dopt

law

s an

d re

gula

tions

for

the

pre

vent

ion,

red

uctio

n an

d co

ntro

l of p

ollu

tion

from

ves

sels

conf

orm

ing

to a

nd g

ivin

g ef

fect

to g

ener

ally

acc

epte

d in

tern

atio

nal

rule

s an

d st

anda

rds

est

ablis

hed

thro

ugh

the

com

pete

nt i

nter

natio

nal

orga

niza

tion

or g

ener

al d

iplo

mat

ic c

onfe

renc

e.(6

) (a)

Whe

re th

e in

tern

atio

nal r

ules

and

sta

ndar

ds re

ferre

d to

in p

arag

raph

1 a

re in

adeq

uate

to

mee

t spe

cial

circ

umst

ance

s an

d co

asta

l Sta

tes

have

reas

onab

le g

roun

ds fo

r bel

ievi

ng th

at a

pa

rticu

lar,

clea

rly d

efine

d ar

ea o

f the

ir re

spec

tive

excl

usiv

e ec

onom

ic zo

nes i

s an

area

whe

re th

e ad

optio

n of

spec

ial m

anda

tory

mea

sure

s for

the

prev

entio

n of

pol

lutio

n fro

m v

esse

ls is

requ

ired

for

reco

gnize

d te

chni

cal r

easo

ns in

rela

tion

to it

s oc

eano

grap

hica

l and

eco

logi

cal c

ondi

tions

, as

wel

l as

its u

tiliza

tion

or t

he p

rote

ctio

n of

its

reso

urce

s an

d th

e pa

rticu

lar

char

acte

r of

its

traffi

c, th

e co

asta

l Sta

tes,

afte

r app

ropr

iate

con

sulta

tions

thr

ough

the

com

pete

nt in

tern

atio

nal

orga

niza

tion

with

any

oth

er S

tate

s co

ncer

ned,

may

, for

tha

t ar

ea, d

irect

a c

omm

unic

atio

n to

th

at o

rgan

izatio

n, s

ubm

ittin

g sc

ient

ific

and

tech

nica

l evi

denc

e in

sup

port

and

info

rmat

ion

on

nece

ssar

y re

cept

ion

faci

litie

s. W

ithin

12

mon

ths

afte

r re

ceiv

ing

such

a c

omm

unic

atio

n, t

he

orga

niza

tion

shal

l det

erm

ine

whe

ther

the

cond

ition

s in

that

are

a co

rresp

ond

to th

e re

quire

men

ts

set o

ut a

bove

. If t

he o

rgan

izatio

n so

det

erm

ines

, the

coa

stal

Sta

tes m

ay, f

or th

at a

rea,

ado

pt la

ws

and

regu

latio

ns fo

r the

pre

vent

ion,

redu

ctio

n an

d co

ntro

l of p

ollu

tion

from

vess

els i

mpl

emen

ting

such

inte

rnat

iona

l rul

es a

nd s

tand

ards

or

navi

gatio

nal p

ract

ices

as

are

mad

e ap

plic

able

, th

roug

h th

e or

gani

zatio

n, f

or s

peci

al a

reas

. The

se la

ws

and

regu

latio

ns s

hall

not

beco

me

appl

icab

le to

fore

ign

vess

els

until

15

mon

ths

afte

r the

sub

miss

ion

of th

e co

mm

unic

atio

n to

the

orga

niza

tion.

(b) T

he c

oast

al S

tate

s sha

ll pu

blish

the

limits

of a

ny su

ch p

artic

ular

, cle

arly

defi

ned

area

.

(1),

(2),

(5)

& (7

) M

AR-

POL;

AF

S C

onve

ntio

n;

BWM

Co

nven

tion

& BW

M C

ode


65

XII:

Prot

ec-

tion

and

Pres

erva

-tio

n of

the

Mar

ine

En-

viro

nmen

t

211

Pollu

tion

from

ve

ssel

s

(c) I

f the

coa

stal

Sta

tes

inte

nd to

ado

pt a

dditi

onal

law

s an

d re

gula

tions

for

the

sam

e ar

ea fo

r th

e pr

even

tion,

redu

ctio

n an

d co

ntro

l of p

ollu

tion

from

ves

sels,

they

sha

ll, w

hen

subm

ittin

g th

e af

ores

aid

com

mun

icat

ion,

at t

he sa

me

time

notif

y th

e or

gani

zatio

n th

ereo

f. Su

ch a

dditi

onal

law

s an

d re

gula

tions

may

rela

te to

disc

harg

es o

r na

viga

tiona

l pra

ctic

es b

ut s

hall

not r

equi

re fo

reig

n ve

ssel

s to

obs

erve

de

sign,

con

stru

ctio

n, m

anni

ng o

r eq

uipm

ent

stan

dard

s ot

her

than

gen

eral

ly a

ccep

ted

inte

rnat

iona

l rul

es a

nd s

tand

ards

; the

y sh

all b

ecom

e ap

plic

able

to fo

reig

n ve

ssel

s 15

mon

ths

afte

r the

sub

miss

ion

of th

e co

mm

unic

atio

n to

the

orga

niza

tion,

pro

vide

d th

at th

e or

gani

zatio

n ag

rees

with

in 1

2 m

onth

s afte

r the

subm

issio

n of

the

com

mun

icat

ion.

(7) T

he in

tern

atio

nal r

ules

and

sta

ndar

ds re

ferre

d to

in th

is ar

ticle

shou

ldin

clud

e in

ter a

lia th

ose

rela

ting

to p

rom

pt n

otifi

catio

n to

coa

stal

Sta

tes,

who

se c

oast

line

or re

late

d in

tere

sts m

ay b

e af

fect

ed b

y in

cide

nts,

incl

udin

g m

ariti

me

casu

altie

s, w

hich

invo

lve

disc

harg

es o

r pro

babi

lity

of d

ischa

rges

.

(1),

(2),

(5)

& (7

) M

AR-

POL;

AF

S C

onve

ntio

n;

BWM

Co

nven

tion

& BW

M C

ode

212

Pollu

tion

from

or

thro

ugh

the

atm

osph

ere

(1) S

tate

s sha

ll ad

opt l

aws a

nd re

gula

tions

to p

reve

nt, r

educ

e an

d co

ntro

lpo

llutio

n of

the

mar

ine

envi

ronm

ent f

rom

or t

hrou

gh th

e at

mos

pher

e,ap

plic

able

to th

e ai

r sp

ace

unde

r th

eir

sove

reig

nty

and

to v

esse

ls fly

ing

thei

r fla

g or

ves

sels

or a

ircra

ft of

the

ir re

gist

ry,

taki

ng i

nto

acco

unt

inte

rnat

iona

lly a

gree

d ru

les,

stan

dard

s an

d re

com

men

ded

prac

tices

and

pro

cedu

res a

nd th

e sa

fety

of a

ir na

viga

tion.

(3)

Stat

es, a

ctin

g es

peci

ally

thr

ough

com

pete

nt i

nter

natio

nal

orga

niza

tions

or

dipl

omat

ic

conf

eren

ce,

shal

l en

deav

our

to e

stab

lish

glob

al a

nd r

egio

nal

rule

s, s

tand

ards

and

re

com

men

ded

prac

tices

and

pro

cedu

res

to p

reve

nt, r

educ

e an

d co

ntro

l suc

h po

llutio

n.

(1),

(3)

MAR

POL

Anne

x VI

214

Enfo

rcem

ent

with

resp

ect t

o po

llutio

n fro

m

seab

ed a

ctiv

i-tie

s

Stat

es s

hall

enfo

rce

thei

r law

s an

d re

gula

tions

ado

pted

in a

ccor

danc

e w

ith a

rticl

e 20

8 an

d sh

all

adop

t law

s and

regu

latio

ns a

nd ta

ke o

ther

mea

sure

sne

cess

ary

to im

plem

ent a

pplic

able

inte

rnat

iona

l rul

es a

nd s

tand

ards

est

ablis

hed

thro

ugh

com

pete

nt i

nter

natio

nal

orga

niza

tions

or

dipl

omat

ic c

onfe

renc

e to

pre

vent

, red

uce

and

cont

rol p

ollu

tion

of th

e m

arin

e en

viro

nmen

t aris

ing

from

or i

n co

nnec

tion

with

seab

ed a

ctiv

ities

su

bjec

t to

the

ir ju

risdi

ctio

n an

d fro

m a

rtific

ial i

sland

s, in

stal

latio

ns a

nd s

truct

ures

und

er t

heir

juris

dict

ion,

pur

suan

t to

artic

les 6

0 an

d 80

.

MAR

POL

Anne

xes

I-V;

AFS

Con

vent

ion;

BW

M

Con

vent

ion

216

Enfo

rcem

ent

with

re

spec

t to

pol

lutio

n by

du

mpi

ng

(1)

Law

s an

d re

gula

tions

ado

pted

in

acco

rdan

ce w

ith t

his

Conv

entio

n an

d ap

plic

able

in

tern

atio

nal

rule

s an

d st

anda

rds

esta

blis

hed

thro

ugh

com

pete

nt

inte

rnat

iona

l or

gani

zatio

ns o

r di

plom

atic

con

fere

nce

for

the

prev

entio

n, r

educ

tion

and

cont

rol

of

pollu

tion

of th

e m

arin

e en

viro

nmen

t by

dum

ping

shal

l be

enfo

rced

:(a

) by

the

coas

tal S

tate

with

rega

rd to

dum

ping

with

in it

s ter

ritor

ial s

ea o

r its

exc

lusiv

e ec

onom

ic

zone

or o

nto

its c

ontin

enta

l she

lf;(b

) by

the

flag

Stat

e w

ith re

gard

to v

esse

ls fly

ing

its fl

ag o

r ves

sels

or a

ircra

ft of

its r

egist

ry;

(c) b

y an

y St

ate

with

reg

ard

to a

cts

of lo

adin

g of

was

tes

or o

ther

mat

ter

occu

rrin

g w

ithin

its

terr

itory

or a

t its

off-

shor

e te

rmin

als.

Lond

on

Con

vent

ion

& Pr

otoc

ol

66


XII:

Prot

ec-

tion

and

Pres

erva

-tio

n of

the

Mar

ine

En-

viro

nmen

t

217

Enfo

rcem

ent

by fl

ag S

tate

s

(1) S

tate

s sha

ll en

sure

com

plia

nce

by v

esse

ls fly

ing

thei

r flag

or o

f the

ir re

gist

ry w

ith a

pplic

able

in

tern

atio

nal

rule

s an

d st

anda

rds,

est

ablis

hed

thro

ugh

the

com

pete

nt i

nter

natio

nal

orga

niza

tion

or g

ener

al d

iplo

mat

ic c

onfe

renc

e, a

nd w

ith th

eir l

aws

and

regu

latio

ns a

dopt

ed

in a

ccor

danc

e w

ith th

is Co

nven

tion

for t

he p

reve

ntio

n, re

duct

ion

and

cont

rol o

f pol

lutio

n of

the

mar

ine

envi

ronm

ent f

rom

ves

sels

and

shal

l acc

ordi

ngly

ado

pt la

ws

and

regu

latio

ns a

nd ta

ke

othe

r m

easu

res

nece

ssar

y fo

r th

eir

impl

emen

tatio

n. F

lag

Stat

es s

hall

prov

ide

for

the

effe

ctiv

e en

forc

emen

t of

such

rul

es, s

tand

ards

, law

s an

d re

gula

tions

, irre

spec

tive

of w

here

a v

iola

tion

occu

rs.

(2) S

tate

s sha

ll, in

par

ticul

ar, t

ake

appr

opria

te m

easu

res i

n or

der t

o en

sure

that

vess

els fl

ying

thei

r fla

g or

of t

heir

regi

stry

are

pro

hibi

ted

from

sai

ling,

unt

il th

ey c

an p

roce

ed to

sea

in c

ompl

ianc

e w

ith th

e re

quire

men

ts o

f th

e in

tern

atio

nal r

ules

and

sta

ndar

ds r

efer

red

to in

par

agra

ph

1, in

clud

ing

requ

irem

ents

in re

spec

t of d

esig

n, c

onst

ruct

ion,

equ

ipm

ent a

nd m

anni

ng o

f ve

ssel

s.(3

) Sta

tes

shal

l ens

ure

that

ves

sels

flyin

g th

eir fl

ag o

r of t

heir

regi

stry

car

ry o

n bo

ard

certi

ficat

es

requ

ired

by an

d iss

ued

purs

uant

to in

tern

atio

nal r

ules

and

stan

dard

s ref

erre

d to

in p

arag

raph

1.

Sta

tes s

hall

ensu

re th

at ve

ssel

s flyi

ng th

eir fl

ag a

re p

erio

dica

lly in

spec

ted

in o

rder

to ve

rify t

hat

such

cer

tifica

tes a

re in

con

form

ity w

ith th

e ac

tual

con

ditio

n of

the

vess

els.

Thes

e ce

rtific

ates

shal

l be

acc

epte

d by

oth

er S

tate

s as e

vide

nce

of th

e co

nditi

on o

f the

vess

els a

nd sh

all b

e re

gard

ed a

s ha

ving

the

sam

e fo

rce

as c

ertifi

cate

s iss

ued

by th

em, u

nles

s the

re a

re c

lear

gro

unds

for b

elie

ving

th

at th

e co

nditi

on o

f the

ves

sel d

oes

not c

orre

spon

d su

bsta

ntia

lly w

ith th

e pa

rticu

lars

of t

he

certi

ficat

es.

(4) I

f a v

esse

l com

mits

a v

iola

tion

of ru

les

and

stan

dard

s es

tabl

ishe

d th

roug

h th

e co

mpe

tent

in

tern

atio

nal o

rgan

izat

ion

or g

ener

al d

iplo

mat

ic co

nfer

ence

, the

flag

Sta

te, w

ithou

t pre

judi

ce

to a

rticl

es 2

18, 2

20 a

nd 2

28, s

hall

prov

ide

for i

mm

edia

te in

vest

igat

ion

and

whe

re a

ppro

pria

te

inst

itute

pro

ceed

ings

in r

espe

ct o

f th

e al

lege

d vi

olat

ion

irres

pect

ive

of w

here

the

vio

latio

n oc

curre

d or

whe

re th

e po

llutio

n ca

used

by

such

vio

latio

n ha

s occ

urre

d or

has

bee

n sp

otte

d.

(1)-(

4)

MAR

POL;

AF

S C

onve

ntio

n; B

WM

Con

-ve

ntio

n;

Lond

on

Con

-ve

ntio

n &

Prot

ocol

218

Enfo

rcem

ent

by p

ort S

tate

s

1. W

hen

a ve

ssel

is v

olun

taril

y w

ithin

a p

ort o

r at a

n of

f-sho

re te

rmin

al o

f a S

tate

, tha

t Sta

te m

ay

unde

rtake

inve

stig

atio

ns a

nd, w

here

the

evid

ence

so

war

rant

s, in

stitu

te p

roce

edin

gs in

resp

ect

of a

ny d

ischa

rge

from

that

vess

el o

utsid

e th

e in

tern

al w

ater

s, te

rrito

rial s

ea o

r exc

lusiv

e ec

onom

ic

zone

of t

hat S

tate

in vi

olat

ion

of a

pplic

able

inte

rnat

iona

l rul

es a

nd st

anda

rds e

stab

lishe

d th

roug

h th

e co

mpe

tent

inte

rnat

iona

l org

aniz

atio

n or

gen

eral

dip

lom

atic

con

fere

nce.

MAR

POL;

AFS

Con

ven-

tion;

BW

M C

onve

ntio

n;

Lond

on

Con

vent

ion

& Pr

otoc

ol

219

Mea

sure

s re

la-

ting

to se

awor

-th

ines

s of

ves

-se

ls to

av

oid

pollu

tion

Subj

ect t

o se

ctio

n 7,

Sta

tes w

hich

, upo

n re

ques

t or o

n th

eir o

wn

initi

ativ

e, h

ave

asce

rtain

ed th

at a

ve

ssel

with

in o

ne o

f the

ir po

rts o

r at o

ne o

f the

ir of

f-sho

re te

rmin

als i

s in

viol

atio

n of

app

licab

le

inte

rnat

iona

l rul

es a

nd st

anda

rds r

elat

ing

to se

awor

thin

ess o

f ves

sels

and

ther

eby t

hrea

tens

da

mag

e to

the

mar

ine

envi

ronm

ent s

hall,

as

far a

s pr

actic

able

, tak

e ad

min

istra

tive

mea

sure

s to

pr

even

t the

ves

sel f

rom

saili

ng. S

uch

Stat

es m

ay p

erm

it th

e ve

ssel

to p

roce

ed o

nly

to th

e ne

ares

t ap

prop

riate

repa

ir ya

rd a

nd, u

pon

rem

oval

of t

he c

ause

s of t

he v

iola

tion,

shal

l per

mit

the

vess

el

to c

ontin

ue im

med

iate

ly.

SOLA

S; L

L C

onve

ntio

n;

STC

W C

onve

ntio

n


67

XII:

Prot

ec-

tion

and

Pres

erva

-tio

n of

the

Mar

ine

En-

viro

nmen

t

220

Enfo

rcem

ent

by c

oast

al S

ta-

tes

(1) W

hen

a ve

ssel

is v

olun

taril

y w

ithin

a p

ort o

r at a

n of

f-sho

re te

rmin

al o

f a S

tate

, tha

t Sta

te m

ay,

subj

ect t

o se

ctio

n 7,

inst

itute

pro

ceed

ings

in re

spec

t of a

ny v

iola

tion

of it

s la

ws

and

regu

latio

ns

adop

ted

in a

ccor

danc

e w

ith th

is Co

nven

tion

or a

pplic

able

inte

rnat

iona

l rul

es a

nd s

tand

ards

fo

r th

e pr

even

tion,

redu

ctio

n an

d co

ntro

l of p

ollu

tion

from

ves

sels

whe

n th

e vi

olat

ion

has

occu

rred

with

in th

e te

rrito

rial s

ea o

r the

exc

lusiv

e ec

onom

ic zo

ne o

f tha

t Sta

te.

(2) W

here

ther

e ar

e cl

ear

grou

nds

for

belie

ving

that

a v

esse

l nav

igat

ing

in th

e te

rrito

rial s

ea

of a

Sta

te h

as, d

urin

g its

pas

sage

ther

ein,

vio

late

d la

ws

and

regu

latio

ns o

f tha

t Sta

te a

dopt

ed

in a

ccor

danc

e w

ith t

his

Conv

entio

n or

app

licab

le i

nter

natio

nal

rule

s an

d st

anda

rds

for

the

prev

entio

n, re

duct

ion

and

cont

rol o

f pol

lutio

n fro

m v

esse

ls, th

at S

tate

, with

out p

reju

dice

to th

e ap

plic

atio

n of

the

rele

vant

pro

visio

ns o

f Par

t II, s

ectio

n 3,

may

und

erta

ke p

hysic

al in

spec

tion

of th

e ve

ssel

rela

ting

to th

e vi

olat

ion

and

may

, whe

re th

e ev

iden

ce s

o w

arra

nts,

inst

itute

pro

ceed

ings

, in

clud

ing

dete

ntio

n of

the

vess

el, in

acc

orda

nce

with

its l

aws,

subj

ect t

o th

e pr

ovisi

ons o

f sec

tion

7. (3) W

here

ther

e ar

e cl

ear g

roun

ds fo

r bel

ievi

ng th

at a

vess

el n

avig

atin

g in

the

excl

usiv

e ec

onom

ic

zone

or t

he te

rrito

rial s

ea o

f a S

tate

has

, in

the

excl

usiv

e ec

onom

ic z

one,

com

mitt

ed a

vio

latio

n of

app

licab

le in

tern

atio

nal r

ules

and

sta

ndar

ds f

or t

he p

reve

ntio

n, r

educ

tion

and

cont

rol o

f po

llutio

n fr

om v

esse

ls o

r law

s and

regu

latio

ns o

f tha

t Sta

te co

nfor

min

g an

d gi

ving

effe

ct to

such

ru

les

and

stan

dard

s, th

at S

tate

may

requ

ire th

e ve

ssel

to g

ive

info

rmat

ion

rega

rdin

g its

iden

tity

and

port

of re

gist

ry, i

ts la

st a

nd it

s ne

xt p

ort o

f cal

l and

oth

er re

leva

nt in

form

atio

n re

quire

d to

es

tabl

ish w

heth

er a

vio

latio

n ha

s occ

urre

d.(7

) Not

with

stan

ding

the

prov

ision

s of

par

agra

ph 6

, whe

neve

r ap

prop

riate

pro

cedu

res

have

be

en e

stab

lishe

d, e

ither

thro

ugh

the

com

pete

nt in

tern

atio

nal o

rgan

izat

ion

or a

s oth

erw

ise

agre

ed, w

here

by c

ompl

ianc

e w

ith r

equi

rem

ents

for

bon

ding

or

othe

r ap

prop

riate

fina

ncia

l se

curit

y ha

s be

en a

ssur

ed, t

he c

oast

al S

tate

if b

ound

by

such

pro

cedu

res

shal

l allo

w th

e ve

ssel

to

pro

ceed

.(8

) The

pro

visio

ns o

f pa

ragr

aphs

3, 4

, 5, 6

and

7 al

so a

pply

in r

espe

ct o

f na

tiona

l law

s an

d re

gula

tions

ado

pted

pur

suan

t to

artic

le 2

11, p

arag

raph

6.

(1)-(

3),

(7)-(

8) M

ARPO

L;

AFS

Con

vent

ion;

BW

M

Con

vent

ion;

Lo

ndon

C

onve

ntio

n &

Prot

ocol

222

Enfo

rcem

ent

with

resp

ect t

o po

llutio

n fro

m

or th

roug

h th

e at

mos

pher

es

Stat

es s

hall

enfo

rce

… w

ith re

gard

to v

esse

ls fly

ing

thei

r flag

or v

esse

ls …

of t

heir

regi

stry

, the

ir la

ws

and

regu

latio

ns a

dopt

ed in

acc

orda

nce

with

art

icle

212

, par

agra

ph 1

, and

with

oth

er

prov

isio

ns o

f thi

s Co

nven

tion

and

shal

l ado

pt la

ws

and

regu

latio

ns a

nd ta

ke o

ther

mea

sure

s ne

cess

ary

to im

plem

ent a

pplic

able

inte

rnat

iona

l rul

es a

nd s

tand

ards

est

ablis

hed

thro

ugh

com

pete

nt in

tern

atio

nal o

rgan

izat

ions

or

dipl

omat

ic c

onfe

renc

e to

pre

vent

, red

uce

and

cont

rol p

ollu

tion

of th

e m

arin

e en

viro

nmen

t fro

m o

r th

roug

h th

e at

mos

pher

e, in

con

for-

mity

with

all

rele

vant

inte

rnat

iona

l rul

es a

nd s

tand

ards

con

cern

ing

the

safe

ty o

f air

navi

-ga

tion.

MAR

POL;

AFS

Con

ven-

tion;

BW

M C

onve

ntio

n;

Lond

on

Con

vent

ion

& Pr

otoc

ol

68


XII:

Prot

ec-

tion

and

Pres

erva

-tio

n of

the

Mar

ine

En-

viro

nmen

t

226

Inve

stig

atio

n of

fore

ign

ves-

sels

(1)

(a)

Stat

es s

hall

not

dela

y a

fore

ign

vess

el l

onge

r th

an i

s es

sent

ial

for

purp

oses

of

the

inve

stig

atio

ns p

rovi

ded

for

in a

rticl

es 2

16, 2

18 a

nd 2

20. A

ny p

hysic

al in

spec

tion

of a

fore

ign

vess

el s

hall

be li

mite

d to

an

exam

inat

ion

of s

uch

certi

ficat

es, r

ecor

ds o

r ot

her

docu

men

ts a

s th

e ve

ssel

is r

equi

red

to c

arry

by

gene

rally

acc

epte

d in

tern

atio

nal r

ules

and

sta

ndar

ds o

r of

any

sim

ilar d

ocum

ents

whi

ch it

is c

arry

ing;

furth

er p

hysic

al in

spec

tion

of th

e ve

ssel

may

be

unde

rtake

n on

ly a

fter s

uch

an e

xam

inat

ion

and

only

whe

n:… (b

) If t

he in

vest

igat

ion

indi

cate

s a

viol

atio

n of

app

licab

le la

ws

and

regu

latio

ns o

r int

erna

tiona

l ru

les a

nd st

anda

rds f

or th

e pr

otec

tion

and

pres

erva

tion

of th

e m

arin

e en

viro

nmen

t, re

leas

e sh

all b

e m

ade

prom

ptly

subj

ect t

o re

ason

able

pro

cedu

res s

uch

as b

ondi

ng o

r oth

er a

ppro

pria

te

finan

cial

secu

rity.

(c)

With

out

prej

udic

e to

app

licab

le i

nter

natio

nal

rule

s an

d st

anda

rds

rela

ting

to t

he

seaw

orth

ines

s of

ves

sels

, th

e re

leas

e of

a v

esse

l m

ay,

whe

neve

r it

wou

ld p

rese

nt a

n un

reas

onab

le th

reat

of d

amag

e to

the

mar

ine

envi

ronm

ent,

be r

efus

ed o

r m

ade

cond

ition

al

upon

pro

ceed

ing

to th

e ne

ares

t app

ropr

iate

repa

ir ya

rd. …

(a)

SOLA

S; L

L C

onve

n-tio

n; T

onna

ge C

onve

n-tio

n;

MAR

POL;

BW

M

Con

vent

ion

(b)

MAR

POL;

AFS

Con

-ve

ntio

n; B

WM

Con

ven-

tion

(c)

SOLA

S; L

L C

onve

n-tio

n;

Tonn

age;

M

AR-

POL;

AF

S C

onve

ntio

n;

BWM

Con

vent

ion

228

Su

spe

nsi

on

and

rest

ric-

tions

on

inst

i-tu

tion

of p

ro-

ceed

ings

(1) P

roce

edin

gs to

impo

se p

enal

ties

in r

espe

ct o

f any

vio

latio

n of

app

licab

le la

ws

and

regu

-la

tions

or

inte

rnat

iona

l rul

es a

nd s

tand

ards

rel

atin

g to

the

pre

vent

ion,

red

uctio

n an

d co

ntro

l of

pol

lutio

n fro

m v

esse

ls co

mm

itted

by

a fo

reig

n ve

ssel

bey

ond

the

terr

itoria

l sea

of t

he S

tate

in

stitu

ting

proc

eedi

ngs s

hall

be su

spen

ded

upon

the

taki

ng o

f pro

ceed

ings

to im

pose

pen

altie

s in

resp

ect o

f cor

resp

ondi

ng c

harg

es b

y the

flag

Sta

te w

ithin

six m

onth

s of t

he d

ate

on w

hich

pro

-ce

edin

gs w

ere

first

inst

itute

d, u

nles

s tho

se p

roce

edin

gs re

late

to a

cas

e of

maj

or d

amag

e to

the

coas

tal S

tate

or t

he fl

ag S

tate

in q

uest

ion

has

repe

ated

ly d

isreg

arde

d its

obl

igat

ion

to e

nfor

ce

effe

ctiv

ely

the

appl

icab

le in

tern

atio

nal r

ules

and

stan

dard

s in

resp

ect o

f vio

latio

ns c

omm

itted

by

its v

esse

ls. …

All

IMO

pol

lutio

n pr

e-ve

ntio

n co

nven

tions

235

Resp

onsi

bilit

y an

d lia

bilit

y

(3) W

ith th

e ob

ject

ive

of a

ssur

ing

prom

pt a

nd a

dequ

ate

com

pens

atio

n in

resp

ect o

f all

dam

age

caus

ed b

y po

llutio

n of

the

mar

ine

envi

ronm

ent,

Stat

es sh

all c

oope

rate

in th

e im

plem

enta

tion

of e

xist

ing

inte

rnat

iona

l law

and

the

furt

her d

evel

opm

ent o

f int

erna

tiona

l law

rela

ting

to

resp

onsi

bilit

y an

d lia

bilit

y fo

r th

e as

sess

men

t of

and

com

pens

atio

n fo

r da

mag

e an

d th

e se

ttlem

ent o

f rel

ated

disp

utes

, as w

ell a

s, w

here

app

ropr

iate

, dev

elop

men

t of c

riter

ia a

nd p

roce

-du

res

for p

aym

ent o

f ade

quat

e co

mpe

nsat

ion,

suc

h as

com

pulso

ry in

sura

nce

or c

ompe

nsat

ion

fund

s.

CLC

Con

vent

ion;

IO

PC

Fund

s C

onve

ntio

n/Su

pple

men

tary

Fu

nd;

LLM

C;

HN

S C

onve

ntio

n &

Prot

ocol

; Bun

ker C

on-

vent

ion


69

Parts

Prov

ision

sD

escr

iptio

n of

com

pete

ncie

sC

IOC

ross

-refe

renc

esC

omm

ents

Part

IAr

ticle

1U

se

of

term

s an

d sc

ope

(3)

"act

iviti

es i

n th

e Ar

ea"

mea

ns a

ll ac

tiviti

es o

f ex

plor

atio

n fo

r, an

d ex

ploi

tatio

n of

, the

res

ourc

es o

f th

e Ar

ea;

(5) (

a) "d

umpi

ng" m

eans

:(i)

any

del

iber

ate

disp

osal

of

was

tes

or o

ther

mat

ter

from

ves

sels,

airc

raft,

pla

tform

s or

oth

er m

an-m

ade

stru

ctur

es a

t sea

;(ii

) any

del

iber

ate

disp

osal

of v

esse

ls, a

ircra

ft, p

latfo

rms

or o

ther

man

-mad

e st

ruct

ures

at s

ea;

(b) "

dum

ping

" doe

s not

incl

ude:

(i) t

he d

ispos

al o

f w

aste

s or

oth

er m

atte

r in

cide

ntal

to

, or

deriv

ed fr

om th

e no

rmal

ope

ratio

ns o

f ves

sels,

ai

rcra

ft, p

latfo

rms

or o

ther

man

-mad

e st

ruct

ures

at

sea

and

thei

r eq

uipm

ent,

othe

r th

an w

aste

s or

oth

er

mat

ter t

rans

porte

d by

or t

o ve

ssel

s, ai

rcra

ft, p

latfo

rms

or o

ther

man

-mad

e st

ruct

ures

at s

ea, o

pera

ting

for t

he

purp

ose

of d

ispos

al o

f su

ch m

atte

r or

der

ived

fro

m

the

treat

men

t of s

uch

was

tes

or o

ther

mat

ter o

n su

ch

vess

els,

airc

raft,

pla

tform

s or s

truct

ures

;(ii

) pla

cem

ent o

f mat

ter

for

a pu

rpos

e ot

her

than

the

mer

e di

spos

al th

ereo

f, pr

ovid

ed th

at s

uch

plac

emen

t is

not c

ontra

ry to

the

aim

s of t

his C

onve

ntio

n.

(3) I

SA

(5

) IS

A,IM

O

(3)

UN

CLO

S Pa

rt XI

ge

nera

lly; A

nnex

III; A

nnex

IV

; N

odul

e Re

gula

tions

Su

lphi

des;

Reg

ulat

ions

Coba

lt Re

gula

tions

, re

g 1(

3)(b

) &

(c);

Dra

ft Ex

ploi

tatio

n Re

gula

tions

(5)

UN

CLO

S,

Arts

14

5,

210

and

216;

Lo

ndon

Co

nven

tion,

ar

t 3(

1);

Lond

on P

roto

col,

Art 1

(4);

Hon

g Ko

ng C

onve

ntio

n

The

Seab

ed

Advi

sory

O

pini

on

has

impa

cted

on

the

defin

ition

s in

thi

s pr

ovisi

on.

The

defin

ition

of

‘a

ctiv

ities

in

th

e Ar

ea’

inte

nded

to

refe

r to

exp

lora

tion

and

expl

oita

tion

activ

ities

ha

s be

en

clar

ified

in

so

me

dept

h an

d ex

clud

es

proc

essin

g an

d tra

nspo

rtatio

n of

m

iner

als

ex

situ.

The

ref

eren

ce t

o ‘d

ispos

al

of

was

tes’

in

the

defin

ition

of

‘d

umpi

ng’

mus

t be

rea

d ag

ains

t th

e al

loca

tion

of t

his

pow

er t

o IS

A in

Arti

cle

145.

The

defi

nitio

n of

ISA

’s re

gula

tory

pow

er o

ver

‘disp

osal

of w

aste

s’ fro

m a

ctiv

ities

in

the

Are

a do

es n

ot in

clud

e th

e di

spos

al

of

vess

els,

plat

form

s an

d ot

her

stru

ctur

es in

the

Are

a.

Disp

osal

of

th

ese

is go

vern

ed

by t

he L

ondo

n C

onve

ntio

n an

d Lo

ndon

Pr

otoc

ol.

Recy

clin

g of

sh

ips

is no

w g

over

ned

by t

he

Hon

g Ko

ng C

onve

ntio

n, a

lso a

n IM

O re

spon

sibili

ty.

Part

VII

Artic

le 8

7Fr

eedo

ms

of th

e hi

gh

seas

(1) T

he h

igh

seas

are

ope

n to

all

Stat

es …

Fre

edom

of

the

hig

h se

as i

s ex

erci

sed

unde

r th

e co

nditi

ons

laid

dow

n by

thi

s Co

nven

tion

and

by o

ther

rul

es o

f in

tern

atio

nal l

aw. I

t com

prise

s, in

ter a

lia, …

:(a

) fre

edom

of n

avig

atio

n;(d

) fre

edom

to

cons

truct

arti

ficia

l isl

ands

and

oth

er

inst

alla

tions

per

mitt

ed u

nder

inte

rnat

iona

l law

, sub

ject

to

Par

t VI;

...(2

) The

se fr

eedo

ms

shal

l be

exer

cise

d by

all

Stat

es …

w

ith d

ue r

egar

d fo

r th

e rig

hts

unde

r th

is Co

nven

tion

with

resp

ect t

o ac

tiviti

es in

the

Area

.

IMO

(1)

UN

CLO

S Pa

rt XI

, Ar

t 14

7

(2)

UN

CLO

S Pa

rt XI

ge

nera

lly a

nd re

gula

tions

The

cons

truct

ion

of i

nsta

llatio

ns

for

activ

ities

in t

he A

rea

is no

t a

freed

om o

f the

hig

h se

as, b

ut a

n ac

tivity

regu

late

d by

ISA.

AN

NEX

3: I

NTE

RFA

CE O

F CO

MPE

TEN

CIES

OF

ISA

AN

D IM

O W

ITH

RE

SPEC

T TO

ACT

IVIT

IES

IN T

HE

ARE

A

70


Artic

le 9

4D

utie

s of

th

e fla

g St

ate

(3) E

very

Sta

te sh

all t

ake

such

mea

sure

s for

ship

s flyi

ng

its fl

ag a

s ar

e ne

cess

ary

to e

nsur

e sa

fety

at

sea

with

re

gard

, int

er a

lia, t

o:(a

) the

con

stru

ctio

n, e

quip

men

t and

sea

wor

thin

ess

of

ship

s;(b

) th

e m

anni

ng o

f sh

ips,

labo

ur c

ondi

tions

and

the

tra

inin

g of

crew

s, ta

king

in

to

acco

unt

the

appl

icab

le

inte

rnat

iona

l ins

trum

ents

;(c

) th

e us

e of

sig

nals,

th

e m

aint

enan

ce

of

com

mun

icat

ions

and

the

prev

entio

n of

col

lisio

ns.

(4)

Such

mea

sure

s sh

all

incl

ude

thos

e ne

cess

ary

to

ensu

re:

(a)

that

eac

h sh

ip, b

efor

e re

gist

ratio

n an

d th

erea

fter

at a

ppro

pria

te i

nter

vals,

is

surv

eyed

by

a qu

alifi

ed

surv

eyor

of

ship

s, an

d ha

s on

boa

rd s

uch

char

ts,

naut

ical

pub

licat

ions

and

nav

igat

iona

l equ

ipm

ent a

nd

inst

rum

ents

as

are

appr

opria

te fo

r the

saf

e na

viga

tion

of th

e sh

ip;

(b)

that

eac

h sh

ip i

s in

the

cha

rge

of a

mas

ter

and

offic

ers w

hopo

sses

s ap

prop

riate

qua

lifica

tions

, in

par

ticul

ar i

n se

aman

ship

,na

viga

tion,

com

mun

icat

ions

and

mar

ine

engi

neer

ing,

an

d th

atth

e cr

ew is

app

ropr

iate

in q

ualifi

catio

n an

d nu

mbe

rs

for t

hety

pe, s

ize, m

achi

nery

and

equ

ipm

ent o

f the

ship

;(c

) th

at

the

mas

ter,

offic

ers

and,

to

th

e ex

tent

ap

prop

riate

, th

e cr

ew a

re f

ully

con

vers

ant

with

and

re

quire

d to

obs

erve

the

app

licab

le i

nter

natio

nal

regu

latio

ns c

once

rnin

g th

e sa

fety

of

life

at s

ea,

the

prev

entio

n of

co

llisi

ons,

th

e pr

even

tion,

re

duct

ion

and

cont

rol o

f m

arin

e po

llutio

n, a

nd th

e m

aint

enan

ce o

f com

mun

icat

ions

by

radi

o.5)

In t

akin

g th

e m

easu

res

calle

d fo

r in

par

agra

phs

3 an

d 4

each

Sta

te is

requ

ired

to c

onfo

rm to

gen

eral

ly

acce

pted

in

tern

atio

nal

regu

latio

ns,

proc

edur

es

and

prac

tices

and

to

take

any

ste

ps w

hich

may

be

nece

ssar

y to

secu

re th

eir o

bser

vanc

e.

IMO

(3)

STC

W

Conv

entio

n;

MLC

(4)

STC

W

Conv

entio

n;

SOLA

S;

COLR

EGS;

M

ARPO

L;

AFS

Conv

entio

n;

BWM

Co

nven

tion

(5)

All

of

the

abov

e,

and

gene

rally

al

l IM

O

conv

entio

ns,

code

s an

d gu

idel

ines

.

Ship

s us

ed

as

plat

form

s fo

r ac

tiviti

es i

n th

e A

rea

and

on

the

high

se

as

are

subj

ect

to

the

excl

usiv

e ju

risdi

ctio

n an

d co

ntro

l of

the

flag

Sta

te.

That

ju

risdi

ctio

n ha

s to

be

ex

erci

sed

with

re

fere

nce

to

IMO

co

nven

tions

co

ncer

ning

m

ariti

me

safe

ty

(SO

LAS,

LL

, CO

LREG

S),

man

ning

an

d tr

aini

ng

(SO

LAS,

ST

CW)

and

envi

ronm

ent

prot

ectio

n (M

ARP

OL,

AFS

, BW

M).


71

Part

XIAr

ticle

145

Pr

otec

tion

of th

e m

a-rin

e en

vi-

ronm

ent

Nec

essa

ry m

easu

res

shal

l be

tak

en i

n ac

cord

ance

w

ith t

his

Conv

entio

n w

ith r

espe

ct t

o ac

tiviti

es in

the

Ar

ea t

o en

sure

effe

ctiv

e pr

otec

tion

for

the

mar

ine

envi

ronm

ent f

rom

har

mfu

l effe

cts w

hich

may

aris

e fro

m

such

act

iviti

es. T

o th

is en

d th

e Au

thor

ity s

hall

adop

t ap

prop

riate

rule

s, re

gula

tions

and

pro

cedu

res f

or in

ter

alia

: (a

) the

pre

vent

ion,

redu

ctio

n an

d co

ntro

l of p

ollu

tion

and

othe

r haz

ards

to th

e m

arin

e en

viro

nmen

t, in

clud

ing

the

coas

tline

, and

of i

nter

fere

nce

with

the

ecol

ogic

al

bala

nce

of

the

mar

ine

envi

ronm

ent,

parti

cula

r at

tent

ion

bein

g pa

id to

the

need

for

prot

ectio

n fro

m

harm

ful e

ffect

s of

suc

h ac

tiviti

es a

s dr

illin

g, d

redg

ing,

ex

cava

tion,

di

spos

al

of

was

te,

cons

truct

ion

and

oper

atio

n or

mai

nten

ance

of

inst

alla

tions

, pi

pelin

es

and

othe

r dev

ices

rela

ted

to su

ch a

ctiv

ities

; (b

) th

e pr

otec

tion

and

cons

erva

tion

of t

he n

atur

al

reso

urce

s of t

he A

rea

and

the

prev

entio

n of

dam

age

to

the

flora

and

faun

a of

the

mar

ine

envi

ronm

ent.

ISA

UN

CLO

S Ar

t 20

9;

Nod

ules

Re

gula

tions

, re

g 15

(2);

Sulp

hide

s Re

gula

tions

(re

g 15

(2);

Coba

lt Re

gula

tions

, re

g 15

(2);

Dra

ft Ex

ploi

tatio

n Re

gula

tions

, dra

ft re

gs 2

, 7(

3), 3

2, 9

2

ISA’

s pow

er to

regu

late

pro

tect

ion

of t

he m

arin

e en

viro

nmen

t fro

m

activ

ities

in

the

Area

, as

defin

ed

by t

he S

eabe

d Ad

viso

ry O

pini

on,

is an

exc

lusiv

e po

wer

. The

pow

er

conc

erns

th

e re

gula

tion

of

drill

ing,

dr

edgi

ng,

exca

vatio

n,

disp

osal

of

w

aste

, co

nstru

ctio

n an

d op

erat

ion

or m

aint

enan

ce o

f in

stal

latio

ns,

pipe

lines

and

oth

er

devi

ces

rela

ted

to s

uch

activ

ities

. M

easu

res

take

n by

ISA

for

the

pr

otec

tion

and

pres

erva

tion

of

the

mar

ine

envi

ronm

ent

will

be

com

plem

ente

d by

IMO

regu

latio

n w

ith r

espe

ct t

o th

e us

e of

shi

ps

to s

uppo

rt th

e ab

ove

activ

ities

in

the

Area

. Sev

eral

IMO

inst

rum

ents

(M

ARPO

L an

nexe

s I-V

; AF

S C

onve

ntio

n;

BWM

Co

nven

tion;

Lo

ndon

Con

vent

ion

and

Prot

ocol

) ap

ply

to a

ran

ge o

f sh

ip t

ypes

, in

clud

ing

float

ing

plat

form

s, flo

atin

g an

d su

bmer

ged

stru

ctur

es,

subm

ersib

les

and

craf

t. Th

ere

are

poss

ible

gap

s. A

conc

ern

with

the

AFS

and

BW

M

Con

vent

ions

is th

at th

ey a

pply

to

inte

rnat

iona

l vo

yage

s, po

ssib

ly

nece

ssita

ting

exte

nsio

n of

th

e ru

les

to c

abot

age.

A r

ange

of

emiss

ions

fro

m a

ctiv

ities

in

the

Area

are

not

cov

ered

by

Anne

x VI

an

d th

e Se

abed

Ad

viso

ry

Opi

nion

di

d no

t in

clud

e ai

r em

issio

ns in

con

sider

ing

disp

osal

of

was

tes.

How

ever

, the

regu

latio

n of

op

erat

ion

of

inst

alla

tions

(o

ver

whi

ch

it ha

s ex

pres

s po

wer

) ar

guab

ly s

houl

d in

clud

e em

issio

ns.

72


Part

XIAr

ticle

146

e

nvi

ron

-m

ent

With

re

spec

t to

ac

tiviti

es

in

the

Area

, ne

cess

ary

mea

sure

s sh

all b

e ta

ken

to e

nsur

e ef

fect

ive

prot

ectio

n of

hum

an l

ife. T

o th

is en

d th

e Au

thor

ity s

hall

adop

t ap

prop

riate

ru

les,

regu

latio

ns

and

proc

edur

es

to

supp

lem

ent e

xist

ing

inte

rnat

iona

l law

as e

mbo

died

in

rele

vant

trea

ties.

ISA,

IM

O,

ILO

UN

CLO

S ar

t 98

; SO

LAS;

SA

R Co

nven

tion;

LL

Co

nven

tion;

STC

W;

SUA

Conv

entio

n &

Prot

ocol

; M

LC (I

LO)

Nod

ules

Re

gula

tions

; Su

lphi

des

Regu

latio

ns;

Coba

lt Re

gula

tions

Stan

dard

Cla

uses

sec

tion

15

ISA’

s re

gula

tory

po

wer

fo

r th

e pr

otec

tion

of

hum

an

life

is a

supp

lem

enta

ry

pow

er,

rath

er

than

an

excl

usiv

e or

a p

rimar

y po

wer

. Thi

s im

plie

s th

at t

he le

ad

regu

lato

rs o

f th

is su

bjec

t-mat

ter

are

othe

r com

pete

nt in

tern

atio

nal

orga

niza

tions

. Saf

ety

of li

fe a

t sea

(d

efine

d br

oadl

y to

inc

lude

all

mat

ters

add

ress

ed b

y SO

LAS,

LLC

an

d SA

RC)

and

seaf

arer

tra

inin

g (S

TCW

) ar

e IM

O r

espo

nsib

ilitie

s. O

ccup

atio

nal h

ealth

and

saf

ety

of

seaf

arer

s is

an IL

O r

espo

nsib

ility

. IS

A’s m

anda

te co

ncer

ns re

gula

tion

for t

he p

rote

ctio

n of

hum

an li

fe in

re

latio

n to

res

ourc

e ex

plor

atio

n an

d ex

ploi

tatio

n ac

tiviti

es i

n th

e Ar

ea.

To

date

, th

ere

appe

ars

to b

e IS

A re

lianc

e on

exi

stin

g in

tern

atio

nal s

tand

ards

thro

ugh

a ru

le o

f re

fere

nce

in t

he s

tand

ard

clau

ses

of e

xplo

ratio

n co

ntra

cts

and

the

Dra

ft ex

ploi

tatio

n re

gula

tions

an

ticip

ate

relia

nce

on I

MO

and

ILO

sta

ndar

ds o

n he

alth

and

saf

ety.

A co

ncer

n is

that

SO

LAS

and

LLC

ap

ply

to

ship

s on

in

tern

atio

nal

voya

ges,

thus

ne

cess

itatin

g ex

tens

ion

to

cabo

tage

by

th

e sp

onso

ring

Stat

e.

A fu

rther

m

atte

r is

the

secu

rity o

f per

sonn

el a

nd p

ossib

le

prot

ectio

ns

unde

r th

e SU

A C

onve

ntio

n.

The

appl

icat

ion

of

the

SUA

Prot

ocol

with

res

pect

to

fixed

pla

tform

s doe

s not

ext

end

to

activ

ities

in th

e Ar

ea.


73

Part

XIAr

ticle

147

A

cc

om

-m

odat

ion

of

activ

i-tie

s in

the

Ar

ea

and

in t

he m

a-rin

e en

vi-

ronm

ent

(1)

Activ

ities

in

the

Area

sha

ll be

car

ried

out

with

re

ason

able

reg

ard

for

othe

r ac

tiviti

es i

n th

e m

arin

e en

viro

nmen

t. (2

) Ins

talla

tions

use

d fo

r ca

rryi

ng o

ut a

ctiv

ities

in t

he

Area

shal

l be

subj

ect t

o th

e fo

llow

ing

cond

ition

s:

(a)

such

in

stal

latio

ns

shal

l be

er

ecte

d,

empl

aced

an

d re

mov

ed s

olel

y in

acc

orda

nce

with

thi

s Pa

rt an

d su

bjec

t to

the

rule

s, re

gula

tions

and

pro

cedu

res o

f the

Au

thor

ity. D

ue n

otic

e m

ust

be g

iven

of

the

erec

tion,

em

plac

emen

t an

d re

mov

al o

f su

ch in

stal

latio

ns, a

nd

perm

anen

t mea

ns fo

r giv

ing

war

ning

of t

heir

pres

ence

m

ust b

e m

aint

aine

d;

(b)

such

ins

talla

tions

may

not

be

esta

blish

ed w

here

in

terfe

renc

e m

ay b

e ca

used

to th

e us

e of

reco

gnize

d se

a la

nes

esse

ntia

l to

int

erna

tiona

l na

viga

tion

or i

n ar

eas o

f int

ense

fish

ing

activ

ity;

(c)

safe

ty z

ones

sha

ll be

est

ablis

hed

arou

nd s

uch

inst

alla

tions

with

app

ropr

iate

mar

king

s to

ens

ure

the

safe

ty o

f bo

th n

avig

atio

n an

d th

e in

stal

latio

ns.

The

confi

gura

tion

and

loca

tion

of s

uch

safe

ty z

ones

sha

ll no

t be

such

as t

o fo

rm a

bel

t im

pedi

ng th

e la

wfu

l acc

ess

of s

hipp

ing

to p

artic

ular

mar

itim

e zo

nes

or n

avig

atio

n al

ong

inte

rnat

iona

l sea

lane

s;

3. O

ther

act

iviti

es in

the

mar

ine

envi

ronm

ent s

hall

be

cond

ucte

d w

ith re

ason

able

rega

rd fo

r act

iviti

es in

the

Area

.

ISA,

IMO

UN

CLO

S, A

rt 87

; SO

LAS

(cha

p V;

M

OD

U

Cod

e;

Rout

eing

fo

r Sh

ips)

; CO

LREG

S

IMO

has

are

a-ba

sed

man

agem

ent

(rout

eing

) an

d re

porti

ng

(shi

p re

porti

ng s

yste

m) t

ools

that

cou

ld

be u

sefu

l for

the

acco

mm

odat

ion

of a

ctiv

ities

in

the

Area

. IM

O i

s th

e or

gani

zatio

n re

spon

sible

for

ro

utei

ng a

nd s

hip

repo

rting

. If

thes

e ar

e to

ols

desir

able

, it

is un

clea

r w

ho w

ould

be

able

to

prop

ose

thes

e fo

r ad

optio

n at

IM

O (I

SA?

Flag

Sta

te?

Spon

sorin

g St

ate?

). IS

A ha

s cl

ear

regu

lato

ry

pow

er

over

th

e er

ectio

n,

empl

acem

ent

and

rem

oval

of

in

stal

latio

ns e

ngag

ed in

act

iviti

es

in th

e Ar

ea. I

MO

has

con

stru

ctio

n st

anda

rds

for

MO

DU

s th

at c

ould

be

use

ful

for

inst

alla

tions

in

the

Area

. Its g

uide

lines

for t

he re

mov

al

of

offs

hore

in

stal

latio

ns

and

stru

ctur

es,

alth

ough

ap

plic

able

to

the

cont

inen

tal s

helf

and

in th

e EE

Z, c

ould

be

info

rmat

ive.

Artic

le 1

50P

oli

cie

s re

latin

g to

ac

tivi

ties

in

the

Area

The

prov

ision

set

s ge

nera

l po

licy

dire

ctio

ns.

Mor

e sp

ecifi

cally

, act

iviti

es in

the

Area

to b

e ca

rrie

d w

ith a

vi

ew to

ens

urin

g:

(b)

orde

rly,

safe

and

rat

iona

l m

anag

emen

t of

the

re

sour

ces

of th

e Ar

ea, i

nclu

ding

the

effic

ient

con

duct

of

act

iviti

es i

n th

e A

rea

and,

in

acco

rdan

ce w

ith

soun

d pr

inci

ples

of

cons

erva

tion,

the

avo

idan

ce o

f un

nece

ssar

y w

aste

;

ISA

Nod

ules

Re

gula

tions

; Su

lphi

des

Regu

latio

ns;

Coba

lt Re

gula

tions

; D

raft

Expl

oita

tion

Regu

latio

ns

This

artic

le p

rovi

des s

uppo

rt fo

r the

us

e of

are

a-ba

sed

man

agem

ent

tool

s an

d sh

ip r

epor

ting

syst

ems.

How

ever

, the

y w

ould

nee

d to

be

prop

osed

to IM

O.

74


Part

XIAr

ticle

153

Syst

em o

f e

xplo

ra-

tion

and

exp

loit

a-tio

n

(1) A

ctiv

ities

in th

e Ar

ea sh

all b

e or

gani

zed,

car

ried

out

and

cont

rolle

d by

the

Aut

horit

y on

beh

alf o

f man

kind

as

a w

hole

in a

ccor

danc

e w

ith t

his

artic

le a

s w

ell a

s ot

her

rele

vant

pro

visio

ns o

f thi

s Pa

rt an

d th

e re

leva

nt

Anne

xes,

and

the

rule

s, re

gula

tions

and

pro

cedu

res

of

the

Auth

ority

. …

(4)

The

Auth

ority

sha

ll ex

erci

se s

uch

cont

rol

over

ac

tiviti

es in

the

Are

a as

is n

eces

sary

for t

he p

urpo

se

of se

curin

g co

mpl

ianc

e w

ith th

e re

leva

nt p

rovi

sion

s of

this

Par

t and

the

Ann

exes

rela

ting

ther

eto,

and

the

rule

s, re

gula

tions

and

pro

cedu

res

of th

e A

utho

rity,

an

d th

e pl

ans

of w

ork

appr

oved

in a

ccor

danc

e w

ith

para

grap

h 3.

Sta

tes

Parti

es s

hall

assis

t th

e Au

thor

ity

by t

akin

g al

l m

easu

res

nece

ssar

y to

ens

ure

such

co

mpl

ianc

e in

acc

orda

nce

with

arti

cle

139.

(5) T

he A

utho

rity

shal

l hav

e th

e rig

ht t

o ta

ke a

t an

y tim

e an

y m

easu

res

prov

ided

for

und

er t

his

Part

to

ens

ure

com

plia

nce

with

its

pro

visi

ons

and

the

exer

cise

of

the

func

tions

of

cont

rol a

nd r

egul

atio

n as

sign

ed to

it th

ereu

nder

or u

nder

any

con

tract

. The

Au

thor

ity sh

all h

ave

the

right

to in

spec

t all

inst

alla

tions

in

the

Are

a us

ed in

con

nect

ion

with

act

iviti

es in

the

Ar

ea. …

ISA

Nod

ules

Re

gula

tions

; Su

lphi

des

Regu

latio

ns;

Coba

lt Re

gula

tions

; D

raft

Expl

oita

tion

Regu

latio

ns

Artic

le 1

57N

atu

re

and

fun-

dam

enta

l pr

inci

ples

of

the

Au-

thor

ity

As re

vise

d by

the

1994

Agr

eem

ent:

(1)

The

Inte

rnat

iona

l Se

abed

Au

thor

ity

…

is th

e or

gani

zatio

n th

roug

h w

hich

St

ates

Pa

rties

to

th

e Co

nven

tion

shal

l, in

acc

orda

nce

with

the

reg

ime

for

the

Area

est

ablis

hed

in P

art

XI a

nd t

his

Agre

emen

t, or

gani

ze

and

cont

rol

activ

ities

in

th

e A

rea,

pa

rticu

larly

with

a v

iew

to a

dmin

ister

ing

the

reso

urce

s of

the

Area

. The

pow

ers a

nd fu

nctio

ns o

f the

Aut

horit

y sh

all

be t

hose

exp

ress

ly c

onfe

rred

upon

it

by t

his

Conv

entio

n. T

he A

utho

rity

shal

l hav

e su

ch in

cide

ntal

po

wer

s, c

onsi

sten

t w

ith t

his

Conv

entio

n, a

s ar

e im

plic

it in

, and

nec

essa

ry fo

r, th

e ex

erci

se o

f tho

se

pow

ers

and

func

tions

with

res

pect

to

activ

ities

in

the

Are

a.

ISA

1994

Ag

reem

ent,

Anne

x,

Sect

ion

1,

para

1;

N

odul

es

Regu

latio

ns;

Sulp

hide

s Re

gula

tions

; Co

balt

Regu

latio

ns;

Dra

ft Ex

ploi

tatio

n Re

gula

tions

ISA’

s in

cide

ntal

po

wer

s co

uld

be i

nvok

ed t

o ad

dres

s po

tent

ial

regu

lato

ry g

aps

with

res

pect

to

activ

ities

in th

e Ar

ea.


75

Part

XIAr

ticle

160

Po

we

rs

and

func

-tio

ns

(2)

In a

dditi

on,

the

pow

ers

and

func

tions

of

the

Asse

mbl

y sh

all b

e:(f)

(ii)

to c

onsid

er a

nd a

ppro

ve t

he r

ules

, reg

ulat

ions

an

d pr

oced

ures

of t

he A

utho

rity,

and

any

amen

dmen

ts

ther

eto,

pro

visio

nally

ado

pted

by

the

Coun

cil p

ursu

ant

to ar

ticle

162,

par

agra

ph 2

(o)(i

i). Th

ese r

ules

, regu

latio

ns

and

proc

edur

es sh

all r

elat

e to

pro

spec

ting,

exp

lora

tion

and

expl

oita

tion

in th

e Ar

ea, t

he fi

nanc

ial m

anag

emen

t an

d in

tern

al a

dmin

istra

tion

of th

e Au

thor

ity, a

nd, u

pon

the

reco

mm

enda

tion

of t

he G

over

ning

Boa

rd o

f th

e En

terp

rise,

to th

e tra

nsfe

r of f

unds

from

the

Ente

rpris

e to

the

Auth

ority

;… (n

) to

disc

uss

any

ques

tion

or m

atte

r w

ithin

the

co

mpe

tenc

e of

the

Auth

ority

and

to d

ecid

e as

to w

hich

or

gan

of th

e Au

thor

ity sh

all d

eal w

ith a

ny su

ch q

uest

ion

or m

atte

r no

t sp

ecifi

cally

ent

rust

ed t

o a

parti

cula

r or

gan,

con

siste

nt w

ith th

e di

strib

utio

n of

pow

ers

and

func

tions

am

ong

the

orga

ns o

f the

Aut

horit

y

ISA

Nod

ules

Re

gula

tions

; Su

lphi

des

Regu

latio

ns;

Coba

lt Re

gula

tions

; D

raft

Expl

oita

tion

Regu

latio

ns

ISA’

s ha

s ex

clus

ive

regu

lato

ry

auth

ority

ov

er

activ

ities

in

th

e Ar

ea.

Artic

le 1

62P

ow

ers

an

d fu

nc-

tions

(1) T

he C

ounc

il is

the

exec

utiv

e or

gan

of th

e Au

thor

ity.

The

Coun

cil

shal

l ha

ve t

he p

ower

to

esta

blish

, in

co

nfor

mity

w

ith

this

Conv

entio

n an

d th

e ge

nera

l po

licie

s es

tabl

ished

by

the

Asse

mbl

y, th

e sp

ecifi

c po

licie

s to

be p

ursu

ed b

y the

Aut

horit

y on

any q

uest

ion

or m

atte

r with

in th

e co

mpe

tenc

e of

the

Auth

ority

.(2

) In

addi

tion,

the

Coun

cil s

hall:

(a) s

uper

vise

and

coor

dina

te th

e im

plem

enta

tion

of th

e pr

ovisi

ons

of t

his

Part

on a

ll qu

estio

ns a

nd m

atte

rs w

ithin

the

co

mpe

tenc

eof

the

Auth

ority

…… (f)

ent

er i

nto

agre

emen

ts w

ith t

he U

nite

d N

atio

ns

or

othe

r in

tern

atio

nal

orga

niza

tions

on

be

half

of

the

Auth

ority

an

d w

ithin

its

com

pete

nce,

sub

ject

to

appr

oval

by

the

Asse

mbl

y;… [1

994

Agre

emen

t: ap

prov

es p

lans

of w

ork]

… (l)

exer

cise

co

ntro

l ov

er

activ

ities

in

th

e Ar

ea

in

acco

rdan

ce w

ith a

rticl

e 15

3, p

arag

raph

4,

and

the

rule

s, re

gula

tions

and

pro

cedu

res o

f the

Aut

horit

y;

ISA

1994

Agr

eem

ent,

Anne

x,

Sect

ion

3, p

ara

11Th

is pr

ovisi

on

empo

wer

s C

ounc

il to

wor

k w

ith I

MO

and

ot

her

com

pete

nt

inte

rnat

iona

l or

gani

zatio

ns

in

the

even

t re

gula

tory

co

ordi

natio

n an

d ha

rmon

izatio

n ar

e ne

eded

to

su

ppor

t act

iviti

es in

the

Area

.

76


Part

XIAr

ticle

162

Po

we

rs

and

func

-tio

ns

o) (i

i) ad

opt a

nd a

pply

pro

visio

nally

, pen

ding

app

rova

l by

the

Asse

mbl

y, th

e ru

les,

regu

latio

ns a

nd p

roce

dure

s of

the

Auth

ority

, and

any

am

endm

ents

ther

eto,

taki

ng

into

acc

ount

the

rec

omm

enda

tions

of

the

Lega

l and

Te

chni

cal

Com

miss

ion

or o

ther

sub

ordi

nate

org

an

conc

erne

d. T

hese

rul

es, r

egul

atio

ns a

nd p

roce

dure

s sh

all r

elat

e to

pro

spec

ting,

exp

lora

tion

and

expl

oita

tion

in th

e Ar

ea …

… (s

) m

ake

reco

mm

enda

tions

to

th

e As

sem

bly

conc

erni

ng p

olic

ies

on a

ny q

uest

ion

or m

atte

r w

ithin

th

e co

mpe

tenc

e of

the

Auth

ority

;… (w

) iss

ue e

mer

genc

y or

ders

, whi

ch m

ay in

clud

e or

ders

fo

r th

e su

spen

sion

or a

djus

tmen

t of

ope

ratio

ns,

to

prev

ent

serio

us h

arm

to

the

mar

ine

envi

ronm

ent

arisi

ng o

ut o

f act

iviti

es in

the

Area

;(x

) di

sapp

rove

are

as f

or e

xplo

itatio

n by

con

tract

ors

or th

e En

terp

rise

in c

ases

whe

re s

ubst

antia

l evi

denc

e in

dica

tes

the

risk

of s

erio

us h

arm

to

the

mar

ine

envi

ronm

ent;

… (z)

esta

blish

app

ropr

iate

mec

hani

sms

for

dire

ctin

g an

d su

perv

ising

a s

taff

of in

spec

tors

who

sha

ll in

spec

t ac

tiviti

es in

the

Are

a to

det

erm

ine

whe

ther

thi

s Pa

rt,

the

rule

s, re

gula

tions

and

pro

cedu

res

of th

e Au

thor

ity,

and

the

term

s an

d co

nditi

ons

of a

ny c

ontra

ct w

ith th

e Au

thor

ity a

re b

eing

com

plie

d w

ith.

ISA

1994

Agr

eem

ent,

Anne

x,

Sect

ion

3, p

ara

11Th

is pr

ovisi

on

empo

wer

s C

ounc

il to

wor

k w

ith I

MO

and

ot

her

com

pete

nt

inte

rnat

iona

l or

gani

zatio

ns

in

the

even

t re

gula

tory

co

ordi

natio

n an

d ha

rmon

izatio

n ar

e ne

eded

to

su

ppor

t act

iviti

es in

the

Area

.


77

Part

XII

Artic

le 2

09Po

llut

ion

from

ac

-tiv

ities

in

th

e Ar

ea

(1)

Inte

rnat

iona

l ru

les,

regu

latio

ns

and

proc

edur

es

shal

l be

es

tabl

ished

in

ac

cord

ance

with

Par

t XI t

o pr

even

t, re

duce

an

d co

ntro

l po

llutio

n of

th

e m

arin

e en

viro

nmen

t fro

m a

ctiv

ities

in th

e Ar

ea. S

uch

rule

s, re

gula

tions

and

pro

cedu

res

shal

l be

re-e

xam

ined

from

tim

e to

tim

e as

nec

essa

ry.

(2)

Subj

ect

to t

he r

elev

ant

prov

ision

s of

th

is se

ctio

n, S

tate

s sh

all

adop

t la

ws

and

regu

latio

ns t

o pr

even

t, re

duce

and

con

trol

pollu

tion

of

the

mar

ine

envi

ronm

ent

from

act

iviti

es i

n th

e Ar

ea u

nder

take

n by

ve

ssel

s, in

stal

latio

ns,

stru

ctur

es a

nd o

ther

de

vice

s fly

ing

thei

r fla

g or

of

thei

r re

gist

ry

or o

pera

ting

unde

r th

eir

auth

ority

, as

the

ca

se m

ay b

e. T

he re

quire

men

ts o

f suc

h la

ws

and

regu

latio

ns s

hall

be n

o le

ss e

ffect

ive

than

the

inte

rnat

iona

l rul

es, r

egul

atio

ns a

nd

proc

edur

es re

ferre

d to

in p

arag

raph

1.

ISA

UN

CLO

S Ar

ts 1

, 145

, 215

; N

odul

es

Regu

latio

ns;

Sulp

hide

s Re

gula

tions

; Co

balt

Regu

latio

ns;

Dra

ft Ex

ploi

tatio

n Re

gula

tions

As

indi

cate

d ea

rlier

, Ar

ticle

14

5 cl

early

as

signs

exc

lusiv

e re

gula

tory

res

pons

ibili

ty

for

pollu

tion

from

act

iviti

es i

n th

e Ar

ea t

o IS

A. A

rticl

e 20

9(1)

rein

forc

es th

is re

gula

tory

ro

le. A

rticl

e 20

9(2)

pla

ces

an o

blig

atio

n on

St

ates

to e

xerc

ise le

gisla

tive

juris

dict

ion

over

th

eir

vess

els,

inst

alla

tions

an

d st

ruct

ures

to

pro

tect

the

mar

ine

envi

ronm

ent

from

ac

tiviti

es in

the

Area

, in

a m

anne

r tha

t is

no

less

effe

ctiv

e th

an I

SA r

egul

atio

ns.

Oth

er

rule

s m

ay p

lay

a ro

le.

Regu

latio

n 1(

5) o

f the

N

odul

es,

Sulfi

des

and

Cob

alt

Regu

latio

ns

ISA

regu

latio

ns (

Regu

latio

n 1(

5))

prov

ides

th

at th

e re

gula

tions

‘may

be

supp

lem

ente

d by

furth

er ru

les,

regu

latio

ns a

nd p

roce

dure

s’ an

d th

at t

he r

egul

atio

ns a

re s

ubje

ct t

o th

e U

NC

LOS,

199

4 Ag

reem

ent a

nd o

ther

rul

es

of i

nter

natio

nal

law

not

inc

ompa

tible

with

th

e U

NC

LOS.

Artic

le 2

10Po

llut

ion

by

dum

-pi

ng

See

Anne

x 2

IMO

UN

CLO

S Ar

ts 1

, 145

, 216

; Lo

ndon

Co

nven

tion

& Pr

otoc

ol

Whi

le I

MO

is

the

lead

org

aniza

tion

with

re

spec

t to

dum

ping

in g

ener

al, I

SA e

njoy

s ex

clus

ive

auth

ority

to r

egul

ate

the

disp

osal

of

was

tes

from

act

iviti

es in

the

Are

a un

der

Artic

le

145.

Al

thou

gh

cons

truct

ion

and

oper

atio

n or

mai

nten

ance

of

inst

alla

tions

fa

ll w

ithin

IS

A’s

regu

lato

ry

pow

er,

the

situa

tion

is le

ss c

lear

with

res

pect

to

the

disp

osal

of

vess

els,

plat

form

s an

d ot

her

man

-mad

e st

ruct

ures

at s

ea. T

he d

elib

erat

e di

spos

al,

aban

donm

ent

and

topp

ling

on

site

of v

esse

ls, p

latfo

rms

and

othe

r m

an-

mad

e st

ruct

ures

at

sea

are

likel

y ca

ptur

ed

by

Artic

le

210,

th

e Lo

ndon

C

onve

ntio

n an

d Lo

ndon

Pro

toco

l reg

ime,

and

pos

sibly

ot

her

inst

rum

ents

suc

h as

the

Hon

g Ko

ng

Recy

clin

g C

onve

ntio

n.

78


Part

XII

Artic

le 2

11Po

llut

ion

from

ve

s-se

ls

See

Anne

x 2

IMO

MAR

POL;

AF

S Co

nven

tion;

BW

M

Conv

entio

n

Rule

s of

ref

eren

ce t

o IM

O r

egul

atio

ns o

n ve

ssel

sou

rce

pollu

tion

are

appl

icab

le t

o sh

ips

supp

ortin

g ac

tiviti

es

in

the

Area

, su

bjec

t to

spe

cific

com

pete

ncie

s th

at a

re

excl

usiv

e to

ISA

with

resp

ect t

o th

e re

gula

tion

of a

ctiv

ities

in th

e Ar

ea. T

he re

gula

tion

of th

e va

rious

for

ms

of p

ollu

tion

cons

eque

ntia

l to

the

ope

ratio

n of

shi

ps g

ener

ally

is

the

resp

onsib

ility

of I

MO

.

Artic

le 2

12Po

llut

ion

from

or

th

rou

gh

the

atm

os-

pher

e

See

Anne

x 2

IMO

UN

CLO

S Ar

ts 1

45,

209,

21

5, 2

22; M

ARPO

L an

nex

VI

In c

onsid

erin

g th

e na

ture

of

‘disp

osal

of

was

tes’

in A

rticl

e 14

5, th

e Se

abed

Adv

isory

O

pini

on d

id n

ot e

xplo

re th

e ex

tent

to w

hich

em

issio

ns, a

s di

stin

ct f

rom

disc

harg

es, a

re

capt

ured

by

ISA’

s en

viro

nmen

tal r

egul

ator

y po

wer

ov

er

activ

ities

in

th

e Ar

ea.

It is

conc

eiva

ble

that

the

refe

renc

e to

‘ope

ratio

n of

in

stal

latio

ns’

incl

udes

em

issio

ns

from

th

eir o

pera

tion.

In a

ny c

ase,

MAR

POL

Anne

x VI

doe

s no

t ap

ply

to e

miss

ions

dire

ctly

ar

ising

fro

m t

he e

xplo

ratio

n, e

xplo

itatio

n an

d as

soci

ated

of

fsho

re

proc

essin

g of

se

abed

min

eral

reso

urce

s. It

is po

ssib

le th

at

ther

e is

a re

gula

tory

gap

with

resp

ect t

o ai

r em

issio

ns fr

om a

ctiv

ities

in th

e Ar

ea.

Artic

le 2

15E

nfo

rce

-m

ent

with

re

spec

t to

p

ollu

tio

n fro

m

ac-

tiviti

es

in

the

Area

Enfo

rcem

ent

of

inte

rnat

iona

l ru

les,

regu

latio

ns

and

proc

edur

es

esta

blish

ed

in

acco

rdan

ce

with

Pa

rt XI

to

pr

even

t, re

duce

and

con

trol p

ollu

tion

of th

e m

arin

e en

viro

nmen

t fro

m a

ctiv

ities

in th

e Ar

ea s

hall

be g

over

ned

by th

at P

art.

ISA

UN

CLO

S Ar

ts 1

45 &

209

; N

odul

es

Regu

latio

ns;

Sulp

hide

s Re

gula

tions

; Co

balt

Regu

latio

ns;

Dra

ft Ex

ploi

tatio

n Re

gula

tions

ISA’

s re

gula

tions

co

ncer

ning

th

e re

spon

sibili

ties

of s

pons

orin

g St

ates

and

co

ntra

ctor

s ap

ply.

Not

e th

e du

e di

ligen

ce

dutie

s of

spo

nsor

ing

Stat

es c

larifi

ed b

y th

e Se

abed

Adv

isory

Opi

nion

.


79

Part

XII

Artic

le 2

16E

nfo

rce

-m

ent

with

re

spec

t to

p

ollu

tio

n by

du

m-

ping

See

Anne

x 2

IMO

UN

CLO

S Ar

ts 1

, 145

, 216

; Lo

ndon

Co

nven

tion

& Pr

otoc

ol

See

com

men

ts o

n Ar

ticle

210

.

Artic

le 2

17E

nfo

rce

-m

ent

by

flag

Stat

es

See

Anne

x 2

IMO

MAR

POL;

AF

S Co

nven

tion;

BW

M

Conv

entio

n;

Lond

on

Conv

entio

n &

Prot

ocol

See

com

men

ts o

n Ar

ticle

211

. Fla

g St

ates

ha

ve

a du

e di

ligen

ce

resp

onsib

ility

to

en

forc

e IM

O st

anda

rds w

ith re

spec

t to

ship

s su

ppor

ting

activ

ities

in th

e Ar

ea.

Artic

le 2

22E

nfo

rce

-m

ent

with

re

spec

t to

p

ollu

tio

n fro

m

or

thro

ug

h th

e at

mos

-ph

ere

See

Anne

x 2

IMO

MAR

POL

anne

x VI

See

com

men

ts o

n Ar

ticle

212

.

Artic

le 2

35Re

spon

si-

bilit

y an

d lia

bilit

y

(3)

With

the

obj

ectiv

e of

ass

urin

g pr

ompt

an

d ad

equa

te co

mpe

nsat

ion

in re

spec

t of a

ll da

mag

e ca

used

by

pollu

tion

of th

e m

arin

e en

viro

nmen

t, St

ates

sha

ll co

oper

ate

in t

he

impl

emen

tatio

n of

exi

stin

g in

tern

atio

nal l

aw

and

the

furth

er d

evel

opm

ent o

f int

erna

tiona

l la

w r

elat

ing

to r

espo

nsib

ility

and

lia

bilit

y fo

r th

e as

sess

men

t of

and

com

pens

atio

n fo

r da

mag

e an

d th

e se

ttlem

ent

of r

elat

ed

disp

utes

, as

wel

l as

, w

here

app

ropr

iate

, de

velo

pmen

t of c

riter

ia a

nd p

roce

dure

s fo

r pa

ymen

t of

ade

quat

e co

mpe

nsat

ion,

suc

h as

com

pulso

ry in

sura

nce

or c

ompe

nsat

ion

fund

s.

ISA

, IM

OU

NC

LOS

Anne

x III

, Ar

t 22

; C

LC

Conv

entio

n;

IOPC

Fun

ds C

onve

ntio

n/Su

pple

men

tary

Fu

nd;

LLM

C;

HN

S Co

nven

tion

& Pr

otoc

ol;

Bunk

er

Conv

entio

n

Alth

ough

thei

r res

pect

ive

com

pete

ncie

s ar

e no

t ex

pres

sly m

entio

ned

in t

his

prov

ision

, IS

A an

d IM

O

enjo

y co

mpl

emen

tary

co

mpe

tenc

ies

for

the

deve

lopm

ent

of

civi

l lia

bilit

y re

gim

es c

once

rnin

g po

llutio

n of

th

e m

arin

e en

viro

nmen

t, re

spec

tivel

y fro

m a

ctiv

ities

in th

e Ar

ea a

nd in

tern

atio

nal

ship

ping

. IS

A’s

com

pete

nce

is lim

ited

to

activ

ities

in

the

Area

as

defin

ed b

y th

e Se

abed

Adv

isory

Opi

nion

. Thi

s in

clud

es in

sit

u tra

nspo

rtatio

n of

ext

ract

ed m

iner

als.

IMO

’s co

mpe

tenc

e co

mm

ence

s w

ith e

x sit

u tra

nspo

rtatio

n of

reco

vere

d m

iner

als.

IMO

’s m

atur

e st

rict

liabi

lity

regi

mes

, al

thou

gh

of m

inim

al a

pplic

atio

n to

hig

h se

as a

reas

, co

uld

serv

e as

a m

odel

for t

he d

evel

opm

ent

of a

liab

ility

regi

me

for m

inin

g in

the

Area

.

80

ISA TECHNICAL STUDY NO. 25An

nex

III

Art 1

7(2)

(f)(1

) The

Aut

horit

y sh

all a

dopt

and

uni

form

ly

appl

y ru

les,

regu

latio

ns a

nd p

roce

dure

s …

on

, int

er a

lia, t

he fo

llow

ing

mat

ters

…(2

) Ru

les,

regu

latio

ns a

nd p

roce

dure

s on

th

e fo

llow

ing

item

s sh

all

fully

refl

ect

the

obje

ctiv

e cr

iteria

set o

ut b

elow

:(f)

Rul

es, r

egul

atio

ns a

nd p

roce

dure

s sh

all

be d

raw

n up

in

orde

r to

sec

ure

effe

ctiv

e pr

otec

tion

of

the

mar

ine

envi

ronm

ent

from

har

mfu

l effe

cts

dire

ctly

res

ultin

g fro

m

activ

ities

in

the

Area

or

from

shi

pboa

rd

proc

essi

ng i

mm

edia

tely

abo

ve a

min

e si

te o

f min

eral

s de

rived

from

that

min

e sit

e,

taki

ng in

to a

ccou

nt th

e ex

tent

to w

hich

suc

h ha

rmfu

l ef

fect

s m

ay d

irect

ly r

esul

t fr

om

drill

ing,

dre

dgin

g, c

orin

g an

d ex

cava

tion

and

from

di

spos

al,

dum

ping

an

d di

scha

rge

into

the

mar

ine

envi

ronm

ent o

f se

dim

ent,

was

tes

or o

ther

effl

uent

s

ISA,

IMO

Min

ing

regu

latio

ns

with

re

spec

t to

Art 1

53(2

)(a).

IMO

re

gula

tions

w

ith

resp

ect

to t

rans

porta

tion

ex si

tu.

Nod

ules

Re

gula

tions

; Su

lphi

des

Regu

latio

ns;

Coba

lt Re

gula

tions

;IM

O

regu

latio

ns

with

re

spec

t to

ex

sit

u tra

nspo

rtatio

n

The

defin

ition

s of

ex

plor

atio

n an

d ex

ploi

tatio

n as

de

fined

in

th

e m

inin

g re

gula

tions

ha

ve

been

in

terp

rete

d/na

rrow

ed d

own

by t

he S

eabe

d Ad

viso

ry

Opi

nion

to

excl

ude

proc

essin

g an

d ex

situ

tra

nspo

rtatio

n.

The

refe

renc

e to

tra

nspo

rtatio

n sy

stem

s su

gges

ts

regu

lato

ry

inte

rface

w

ith

IMO

re

gula

tions

, bot

h fo

r tra

nspo

rt us

ing

ship

s in

situ

and

ex si

tu.

Anne

x IV

No

du

les

Re

gu

la-

tions

; Su

l-ph

ides

Re-

gula

tions

; Co

balt

Re-

gula

tions

Artic

le 1

The

Ente

rpris

e is

the

orga

n of

the

Auth

ority

w

hich

sha

ll ca

rry

out

activ

ities

in t

he A

rea

dire

ctly,

pur

suan

t to

arti

cle

153,

par

agra

ph

2(a)

, as

w

ell

as

the

tran

spor

ting,

pr

oces

sing

and

mar

ketin

g of

min

eral

s re

cove

red

from

the

Are

a.

ISA

, IM

OM

inin

g re

gula

tions

w

ith

resp

ect t

o Ar

t 153

(2)(a

).

IMO

re

gula

tions

w

ith

resp

ect

to t

rans

porta

tion

ex si

tu.

The

Seab

ed A

dviso

ry O

pini

on c

oncl

uded

th

at

the

unde

rline

d te

xt

is no

t pa

rt of

ac

tiviti

es in

the

Area

and

that

the

text

refe

rs

to e

x sit

u tra

nspo

rtatio

n. T

he c

onse

quen

ce

is th

at IM

O ra

ther

than

ISA

enjo

ys re

gula

tory

co

mpe

tenc

e ov

er

ex

situ

trans

porta

tion

syst

ems.

Re

gu

la-

tion

1(3)

(a)

“Exp

loita

tion”

mea

ns t

he r

ecov

ery

for

com

mer

cial

pu

rpos

es

of

poly

met

allic

no

dule

s in

the

Are

a an

d th

e ex

trac

tion

of

min

eral

s th

eref

rom

, in

clud

ing

the

cons

truc

tion

and

oper

atio

n of

min

ing,

pr

oces

sing

and

tran

spor

tatio

n sy

stem

s for

th

e pr

oduc

tion

and

mar

ketin

g of

met

als.

(b)

“Exp

lora

tion”

mea

ns s

earc

hing

for

de

posi

ts o

f po

lym

etal

lic n

odul

es i

n th

e A

rea

with

exc

lusi

ve r

ight

s, t

he a

naly

sis

of s

uch

depo

sits

, the

test

ing

of c

olle

ctin

g sy

stem

s an

d eq

uipm

ent,

proc

essin

g fa

cilit

ies a

nd tr

ansp

orta

tion

syst

ems,

and

the

carr

ying

out

of s

tudi

es o

f the

env

ironm

enta

l, te

chni

cal,

econ

omic

, com

mer

cial

and

oth

er

appr

opria

te fa

ctor

s th

at m

ust b

e ta

ken

into

ac

coun

t in

expl

oita

tion.

ISA

Nod

ules

Re

gula

tions

; Su

lphi

des

Regu

latio

ns;

Coba

lt Re

gula

tions

;IM

O

regu

latio

ns

with

re

spec

t to

ex

sit

u tra

nspo

rtatio

n

The

defin

ition

s of

ex

plor

atio

n an

d ex

ploi

tatio

n as

de

fined

in

th

e m

inin

g re

gula

tions

ha

ve

been

in

terp

rete

d/na

rrow

ed d

own

by t

he S

eabe

d Ad

viso

ry

Opi

nion

to

excl

ude

proc

essin

g an

d ex

situ

tra

nspo

rtatio

n.

The

refe

renc

e to

tra

nspo

rtatio

n sy

stem

s su

gges

ts

regu

lato

ry

inte

rface

w

ith

IMO

re

gula

tions

, bot

h fo

r tra

nspo

rt us

ing

ship

s in

situ

and

ex si

tu.


81

Anne

x III

Ar

t 17(

2)(f)

(1) T

he A

utho

rity

shal

l ado

pt a

nd u

nifo

rmly

ap

ply

rule

s, re

gula

tions

and

pro

cedu

res

…

on, i

nter

alia

, the

follo

win

g m

atte

rs …

(2)

Rule

s, re

gula

tions

and

pro

cedu

res

on

the

follo

win

g ite

ms

shal

l fu

lly r

eflec

t th

e ob

ject

ive

crite

ria se

t out

bel

ow:

(f) R

ules

, reg

ulat

ions

and

pro

cedu

res

shal

l be

dra

wn

up i

n or

der

to s

ecur

e ef

fect

ive

prot

ectio

n of

th

e m

arin

e en

viro

nmen

t fro

m h

arm

ful e

ffect

s di

rect

ly r

esul

ting

from

ac

tiviti

es i

n th

e Ar

ea o

r fr

om s

hipb

oard

pr

oces

sing

im

med

iate

ly a

bove

a m

ine

site

of m

iner

als

deriv

ed fr

om th

at m

ine

site,

ta

king

into

acc

ount

the

exte

nt to

whi

ch s

uch

harm

ful

effe

cts

may

dire

ctly

res

ult

from

dr

illin

g, d

redg

ing,

cor

ing

and

exca

vatio

n an

d fr

om

disp

osal

, du

mpi

ng

and

disc

harg

e in

to th

e m

arin

e en

viro

nmen

t of

sedi

men

t, w

aste

s or

oth

er e

fflue

nts

ISA,

IMO

Min

ing

regu

latio

ns

with

re

spec

t to

Art 1

53(2

)(a).

IMO

re

gula

tions

w

ith

resp

ect

to t

rans

porta

tion

ex si

tu.

Nod

ules

Re

gula

tions

; Su

lphi

des

Regu

latio

ns;

Coba

lt Re

gula

tions

;IM

O

regu

latio

ns

with

re

spec

t to

ex

sit

u tra

nspo

rtatio

n

The

defin

ition

s of

ex

plor

atio

n an

d ex

ploi

tatio

n as

de

fined

in

th

e m

inin

g re

gula

tions

ha

ve

been

in

terp

rete

d/na

rrow

ed d

own

by t

he S

eabe

d Ad

viso

ry

Opi

nion

to

excl

ude

proc

essin

g an

d ex

situ

tra

nspo

rtatio

n.

The

refe

renc

e to

tra

nspo

rtatio

n sy

stem

s su

gges

ts

regu

lato

ry

inte

rface

w

ith

IMO

re

gula

tions

, bot

h fo

r tra

nspo

rt us

ing

ship

s in

situ

and

ex si

tu.

Anne

x IV

No

du

les

Re

gu

la-

tions

; Su

l-ph

ides

Re-

gula

tions

; Co

balt

Re-

gula

tions

Artic

le 1

The

Ente

rpris

e is

the

orga

n of

the

Auth

ority

w

hich

sha

ll ca

rry

out

activ

ities

in t

he A

rea

dire

ctly,

pur

suan

t to

arti

cle

153,

par

agra

ph

2(a)

, as

w

ell

as

the

tran

spor

ting,

pr

oces

sing

and

mar

ketin

g of

min

eral

s re

cove

red

from

the

Are

a.

ISA

, IM

OM

inin

g re

gula

tions

w

ith

resp

ect t

o Ar

t 153

(2)(a

).

IMO

re

gula

tions

w

ith

resp

ect

to t

rans

porta

tion

ex si

tu.

The

Seab

ed A

dviso

ry O

pini

on c

oncl

uded

th

at

the

unde

rline

d te

xt

is no

t pa

rt of

ac

tiviti

es in

the

Area

and

that

the

text

refe

rs

to e

x sit

u tra

nspo

rtatio

n. T

he c

onse

quen

ce

is th

at IM

O ra

ther

than

ISA

enjo

ys re

gula

tory

co

mpe

tenc

e ov

er

ex

situ

trans

porta

tion

syst

ems.

Re

gu

la-

tion

1(3)

(a)

“Exp

loita

tion”

mea

ns t

he r

ecov

ery

for

com

mer

cial

pu

rpos

es

of

poly

met

allic

no

dule

s in

the

Are

a an

d th

e ex

trac

tion

of

min

eral

s th

eref

rom

, in

clud

ing

the

cons

truc

tion

and

oper

atio

n of

min

ing,

pr

oces

sing

and

tran

spor

tatio

n sy

stem

s for

th

e pr

oduc

tion

and

mar

ketin

g of

met

als.

(b)

“Exp

lora

tion”

mea

ns s

earc

hing

for

de

posi

ts o

f po

lym

etal

lic n

odul

es i

n th

e A

rea

with

exc

lusi

ve r

ight

s, t

he a

naly

sis

of s

uch

depo

sits

, the

test

ing

of c

olle

ctin

g sy

stem

s an

d eq

uipm

ent,

proc

essin

g fa

cilit

ies a

nd tr

ansp

orta

tion

syst

ems,

and

the

carr

ying

out

of s

tudi

es o

f the

env

ironm

enta

l, te

chni

cal,

econ

omic

, com

mer

cial

and

oth

er

appr

opria

te fa

ctor

s th

at m

ust b

e ta

ken

into

ac

coun

t in

expl

oita

tion.

ISA

Nod

ules

Re

gula

tions

; Su

lphi

des

Regu

latio

ns;

Coba

lt Re

gula

tions

;IM

O

regu

latio

ns

with

re

spec

t to

ex

sit

u tra

nspo

rtatio

n

The

defin

ition

s of

ex

plor

atio

n an

d ex

ploi

tatio

n as

de

fined

in

th

e m

inin

g re

gula

tions

ha

ve

been

in

terp

rete

d/na

rrow

ed d

own

by t

he S

eabe

d Ad

viso

ry

Opi

nion

to

excl

ude

proc

essin

g an

d ex

situ

tra

nspo

rtatio

n.

The

refe

renc

e to

tra

nspo

rtatio

n sy

stem

s su

gges

ts

regu

lato

ry

inte

rface

w

ith

IMO

re

gula

tions

, bot

h fo

r tra

nspo

rt us

ing

ship

s in

situ

and

ex si

tu.

No

du

les

Re

gu

la-

tions

; Su

l-ph

ides

Re-

gula

tions

; Co

balt

Re-

gula

tions

Re

gu

la-

tion

1(5)

Thes

e Re

gula

tions

may

be

supp

lem

ente

d by

furth

er ru

les,

regu

latio

ns a

nd p

roce

dure

s, in

pa

rticu

lar

on

the

prot

ectio

n an

d pr

eser

vatio

n of

the

mar

ine

envi

ronm

ent.

Thes

e Re

gula

tions

sh

all

be

subj

ect

to

the

prov

isio

ns

of

the

Conv

entio

n an

d th

e A

gree

men

t an

d ot

her

rule

s of

in

tern

atio

nal

law

not

inc

ompa

tible

with

th

e Co

nven

tion.

ISA

, IM

OO

ther

ap

plic

able

re

gula

tions

, in

clud

ing

IMO

re

gula

tions

(e

.g.,

MAR

POL,

AF

S Co

nven

tion,

BW

M

Conv

entio

n).

The

rule

of

re

fere

nce

in

this

prov

ision

in

corp

orat

es

othe

r re

gula

tions

(in

clud

ing

non-

ISA)

th

at

may

be

ap

plic

able

. Th

e re

gula

tions

use

fully

ant

icip

ate

that

on

the

prot

ectio

n an

d pr

eser

vatio

n of

the

mar

ine

envi

ronm

ent t

hey

may

be

supp

lem

ente

d by

ot

her r

ules

of i

nter

natio

nal l

aw.

Re

gu

la-

tion

234.

The

Com

miss

ion

shal

l, in

acc

orda

nce

with

the

req

uire

men

ts s

et f

orth

in

thes

e Re

gula

tions

and

its

proc

edur

es, d

eter

min

e w

heth

er t

he p

ropo

sed

plan

of

wor

k fo

r ex

plor

atio

n w

ill:

(a)

Prov

ide

for

effe

ctiv

e pr

otec

tion

of

hum

an h

ealth

and

saf

ety;

(b)

Prov

ide

for

effe

ctiv

e pr

otec

tion

and

pres

erva

tion

of t

he m

arin

e en

viro

nmen

t, in

clud

ing,

but

not

res

trict

ed t

o, t

he im

pact

on

bio

dive

rsity

;(c

) En

sure

th

at

inst

alla

tions

ar

e no

t es

tabl

ished

w

here

in

terfe

renc

e m

ay

be

caus

ed b

y th

e us

e of

reco

gnize

d se

a la

nes

esse

ntia

l to

int

erna

tiona

l na

viga

tion

or i

n ar

eas o

f int

ense

fish

ing

activ

ity.

ISA

Nod

ules

Re

gula

tions

; Su

lphi

des

Regu

latio

ns;

Coba

lt Re

gula

tions

; D

raft

Expl

oita

tion

Regu

latio

ns;

IMO

regu

latio

ns; M

LC

The

Com

miss

ion

wou

ld n

eed

to co

nsid

er th

e ex

tent

to w

hich

IMO

and

ILO

regu

latio

ns o

n hu

man

hea

lth a

nd sa

fety

app

ly a

nd fa

ctor

ed

into

pla

ns o

f wor

k.

82


No

du

les

Re

gu

la-

tions

; Su

l-ph

ides

Re-

gula

tions

; Co

balt

Re-

gula

tions

: St

and

ard

Cla

uses

Sect

ion

1515

.1 T

he C

ontra

ctor

sha

ll co

mpl

y w

ith t

he

gene

rally

ac

cept

ed

inte

rnat

iona

l ru

les

and

stan

dard

s es

tabl

ishe

d by

com

pete

nt

inte

rnat

iona

l or

gani

zatio

ns

or

gene

ral

dipl

omat

ic

conf

eren

ces

conc

erni

ng

the

safe

ty o

f lif

e at

sea

, and

the

pre

vent

ion

of

colli

sions

and

suc

h ru

les,

regu

latio

ns a

nd

proc

edur

es a

s m

ay b

e ad

opte

d by

the

A

utho

rity

rela

ting

to s

afet

y at

sea

. Ea

ch

vess

el u

sed

for c

arry

ing

out a

ctiv

ities

in th

e Ar

ea s

hall

poss

ess

curre

nt v

alid

cer

tifica

tes

requ

ired

by a

nd i

ssue

d pu

rsua

nt t

o su

ch

inte

rnat

iona

l rul

es a

nd s

tand

ards

.15

.2 T

he C

ontra

ctor

sha

ll, i

n ca

rryi

ng o

ut

expl

orat

ion

unde

r th

is co

ntra

ct,

obse

rve

and

com

ply

with

suc

h ru

les,

regu

latio

ns

and

proc

edur

es

as

may

be

ad

opte

d by

the

Aut

horit

y r

elat

ing

to p

rote

ctio

n ag

ains

t di

scrim

inat

ion

in

empl

oym

ent,

occu

patio

nal

safe

ty

and

heal

th,

labo

ur

rela

tions

, so

cial

se

curit

y, em

ploy

men

t se

curit

y an

d liv

ing

cond

ition

s at

the

wor

k sit

e. S

uch

rule

s, re

gula

tions

and

pro

cedu

res

shal

l ta

ke i

nto

acco

unt

conv

entio

ns a

nd

reco

mm

enda

tions

of

th

e In

tern

atio

nal

Labo

ur O

rgan

izat

ion

and

othe

r com

pete

nt

inte

rnat

iona

l org

aniz

atio

ns.

ISA,

IM

O,

ILO

SOLA

S;

LL

Conv

entio

n;

COLR

EGS;

MLC

This

rule

of

refe

renc

e in

a s

tand

ard

clau

se

enab

les

the

effic

ient

in

corp

orat

ion

of

impo

rtant

lega

l reg

imes

for

safe

ty o

f life

at

sea.

Dra

ft Ex

-pl

oita

tion

Re

gu

la-

tions

Dra

ft Re

-gu

latio

n 1

7. T

hese

Reg

ulat

ions

are

sub

ject

to

the

prov

isio

ns

of

the

Conv

entio

n an

d th

e A

gree

men

t an

d ot

her

rule

s of

in

tern

atio

nal

law

not

inc

ompa

tible

with

th

e Co

nven

tion.

ISA

UN

CLO

S ge

nera

lly;

1994

Ag

reem

ent;

appl

icab

le

IMO

con

vent

ions

This

prov

ision

set

s ou

t th

e le

gal

cont

ext/

para

met

ers

of

the

draf

t re

gula

tions

. In

ad

ditio

n to

the

law

of

the

sea

inst

rum

ents

, th

e pr

ovisi

on

impl

icitl

y re

fers

to

IM

O

conv

entio

ns th

at a

re a

pplic

able

to s

hipp

ing

on th

e hi

gh se

as.


83

Dra

ft Ex

-p

loit

atio

n R

eg

ula

-tio

ns

Dra

ft Re

-gu

latio

n 2

4. P

rovi

de fo

r the

pro

tect

ion

of h

uman

life

;IS

A,

IMO

, IL

OIS

A fu

ture

re

gula

tions

; IM

O

safe

ty

and

ILO

re

gula

tions

This

prov

ision

sta

tes

a pr

inci

ple

with

out

clar

ifyin

g th

at

ISA’

s re

gula

tory

ro

le

on

this

topi

c is

supp

lem

enta

ry

to

exist

ing

inte

rnat

iona

l saf

ety

regu

latio

ns.

Dra

ft Re

-g

ula

tio

n 7(

3)

(f) A

Hea

lth,

Safe

ty a

nd M

ariti

me

Secu

rity

Plan

pre

pare

d in

acc

orda

nce

with

ann

ex V

I to

thes

e Re

gula

tions

;

ISA,

IM

O,

ILO

ISA

futu

re

regu

latio

ns;

IMO

saf

ety,

secu

rity

and

ILO

regu

latio

ns

Anne

x VI o

f the

Dra

ft ex

ploi

tatio

n re

gula

tions

ha

s not

bee

n dr

afte

d an

d w

ill b

e ‘p

opul

ated

fo

llow

ing

disc

ussio

n w

ith I

MO

Sec

reta

riat,

mem

bers

of

ISA

and

Stak

ehol

ders

.’] I

t is

likel

y th

at t

he P

lan

will

be

info

rmed

by

a ra

nge

of a

pplic

able

inte

rnat

iona

l sta

ndar

ds

adop

ted

by IS

A, IM

O a

nd IL

O.

Dra

ft Re

-g

ula

tio

n 30

(S

afe-

ty,

labo

ur

and

heal

th

stan

dard

s)

1. T

he C

ontra

ctor

sha

ll en

sure

at

all t

imes

th

at:

(a)

All

vess

els

and

Inst

alla

tions

ope

ratin

g an

d en

gage

d in

Exp

loita

tion

activ

ities

are

in

good

repa

ir, in

a s

afe

and

soun

d co

nditi

on

and

adeq

uate

ly m

anne

d, a

nd c

ompl

y w

ith

para

grap

hs 2

and

3 b

elow

; and

(b

) All

vess

els

and

Inst

alla

tions

em

ploy

ed in

Ex

ploi

tatio

n ac

tiviti

es h

ave

an a

ppro

pria

te

clas

s de

signa

tion

and

shal

l rem

ain

in c

lass

fo

r the

dur

atio

n of

the

expl

oita

tion

cont

ract

. 2.

The

Con

tract

or s

hall

ensu

re c

ompl

ianc

e w

ith

the

appl

icab

le

inte

rnat

iona

l ru

les

and

stan

dard

s es

tabl

ishe

d by

com

pete

nt

inte

rnat

iona

l or

gani

zatio

ns

or

gene

ral

dipl

omat

ic c

onfe

renc

es c

once

rnin

g th

e sa

fety

of

life

at s

ea, t

he p

ollu

tion

of t

he

Mar

ine

Envi

ronm

ent

by

vess

els,

th

e pr

even

tion

of c

ollis

ions

at

sea

and

the

trea

tmen

t of

cre

w m

embe

rs,

as w

ell

as

any

rule

s, re

gula

tions

and

pro

cedu

res

and

Stan

dard

s ado

pted

from

tim

e to

tim

e by

the

Coun

cil r

elat

ing

to th

ese

mat

ters

. 3.

In a

dditi

on, C

ontra

ctor

s sha

ll:

(a)

Com

ply

with

the

rel

evan

t na

tiona

l law

s re

latin

g to

ves

sel s

tand

ards

and

cre

w s

afet

y of

thei

r fla

g St

ate

in th

e ca

se o

f ves

sels,

or

thei

r sp

onso

ring

Stat

e or

Sta

tes

in th

e ca

se

of In

stal

latio

ns; a

nd

ISA,

IM

O,

ILO

SOLA

S;

LL

Conv

entio

n;

MAR

POL;

AF

S Co

nven

tion;

BW

M

Conv

entio

n;

COLR

EGS;

ST

CW

Con

vent

ion;

MLC

This

draf

t re

gula

tion

cont

ains

use

ful

rule

s of

ref

eren

ces

to s

ever

al a

pplic

able

IM

O

conv

entio

ns an

d co

des,

as w

ell t

he im

porta

nt

ILO

’s M

LC. T

he re

quire

men

t for

com

plia

nce

with

na

tiona

l m

ariti

me

law

s se

rves

to

em

phas

ize t

he r

elev

ance

of

dom

estic

ated

in

tern

atio

nal

mar

itim

e re

gula

tions

an

d co

vers

rul

es a

pplic

able

to c

abot

age

whe

re

ship

ping

su

ppor

ting

seab

ed

min

ing

is do

mes

tic.

On

(5),

IMO

tra

inin

g re

gula

tions

fo

r se

afar

ers

cove

r a

rang

e of

wor

kers

, bu

t no

t al

l pe

rson

nel

likel

y to

be

enga

ged

in

activ

ities

in th

e Ar

ea. T

he M

LC is

pot

entia

lly

appl

icab

le.

ISA’

s su

pple

men

tary

po

wer

un

der

UN

CLO

S Ar

ticle

146

cou

ld b

e us

ed

to a

ddre

ss t

he n

on-s

eafa

rer

com

pete

nces

ne

eded

on

boar

d sh

ips

and

inst

alla

tions

en

gage

d in

act

iviti

es in

the

Area

.Th

e fu

ture

dev

elop

men

t of

gui

delin

es f

or

cont

ract

ors’

safe

ty

man

agem

ent

syst

ems

for

seab

ed m

inin

g ha

s a

usef

ul p

rece

dent

in

the

ISM

Cod

e. T

he IS

M C

ode,

a S

OLA

S in

stru

men

t, co

uld

serv

e as

a m

odel

for

the

deve

lopm

ent o

f saf

ety

man

agem

ent s

yste

m

for

seab

ed m

inin

g. T

his

is an

othe

r ar

ea

whe

re IM

O e

xper

ienc

e an

d ex

perti

se c

ould

be

hel

pful

.

84


Dra

ft Ex

-p

loit

atio

n R

eg

ula

-tio

ns

Dra

ft Re

-g

ula

tio

n 30

(S

afe-

ty,

labo

ur

and

heal

th

stan

dard

s)

(b)

Com

ply

with

the

nat

iona

l la

ws

of i

ts

spon

sorin

g St

ate

or S

tate

s in

rela

tion

to a

ny

mat

ters

that

fall

outs

ide

of th

e ju

risdi

ctio

n of

th

e fla

g St

ate,

suc

h as

wor

ker r

ight

s fo

r non

-cr

ew m

embe

rs a

nd h

uman

hea

lth a

nd sa

fety

th

at p

erta

ins

to t

he m

inin

g pr

oces

s ra

ther

th

an to

ship

ope

ratio

n.

4. T

he C

ontra

ctor

sha

ll pr

ovid

e co

pies

of

valid

cer

tifica

tes

requ

ired

unde

r re

leva

nt

inte

rnat

iona

l shi

ppin

g co

nven

tions

to

the

Auth

ority

upo

n re

ques

t. 5.

The

Con

tract

or sh

all e

nsur

e th

at:

(a)

All

of i

ts p

erso

nnel

, be

fore

ass

umin

g th

eir d

utie

s, ha

ve th

e ne

cess

ary

expe

rienc

e,

train

ing

and

qual

ifica

tions

and

are

abl

e to

co

nduc

t the

ir du

ties s

afel

y, co

mpe

tent

ly a

nd

in c

ompl

ianc

e w

ith th

e Ru

les o

f the

Aut

horit

y an

d th

e te

rms o

f the

exp

loita

tion

cont

ract

; (b

) An

oc

cupa

tiona

l he

alth

, sa

fety

an

d en

viro

nmen

tal

awar

enes

s pl

an

is pu

t in

pl

ace

to i

nfor

m a

ll pe

rson

nel

enga

ged

in

Expl

oita

tion

activ

ities

as

to th

e oc

cupa

tiona

l an

d en

viro

nmen

tal

risks

whi

ch m

ay r

esul

t fro

m t

heir

wor

k an

d th

e m

anne

r in

whi

ch

such

risk

s are

to b

e de

alt w

ith; a

nd

(c) R

ecor

ds o

f the

exp

erie

nce,

trai

ning

and

qu

alifi

catio

ns o

f all

of it

s pe

rson

nel a

re k

ept

and

mad

e av

aila

ble

to th

e Se

cret

ary-

Gen

eral

up

on re

ques

t.6.

A C

ontra

ctor

shal

l impl

emen

t and

mai

ntai

n a

safe

ty m

anag

emen

t sys

tem

taki

ng a

ccou

nt

of th

e re

leva

nt G

uide

lines

.

Dra

ft Re

-g

ula

tio

n 31

2. T

he A

utho

rity,

in co

njun

ctio

n w

ith m

embe

r St

ates

, sh

all

take

mea

sure

s to

ens

ure

that

ot

her

activ

ities

in

the

Mar

ine

Envi

ronm

ent

shal

l be

cond

ucte

d w

ith re

ason

able

rega

rd

for t

he a

ctiv

ities

of C

ontra

ctor

s in

the

Area

.

ISA

UN

CLO

S ar

t 147

It is

poss

ible

that

rou

tein

g m

easu

res

coul

d be

use

ful a

rea-

base

d m

anag

emen

t too

ls to

en

able

ISA

to d

ischa

rge

its o

blig

atio

n in

this

prov

ision

. In th

is ca

se, IS

A in

conj

unct

ion

and

likel

y th

roug

h its

mem

ber

Stat

es (a

s St

ates

Pa

rties

to

SOLA

S), w

ould

nee

d to

pro

ceed

th

roug

h IM

O.


85

Dra

ft Ex

-p

loit

atio

n R

eg

ula

-tio

ns

Dra

ft Re

-g

ula

tio

n 43

(C

om-

pli

an

ce

with

oth

er

law

s an

d re

gu

la-

tions

)

1.

Not

hing

in

an

ex

ploi

tatio

n co

ntra

ct

shal

l re

lieve

a C

ontra

ctor

fro

m i

ts l

awfu

l ob

ligat

ions

und

er a

ny n

atio

nal la

w to

whi

ch it

is

subj

ect,

incl

udin

g th

e la

ws o

f a sp

onso

ring

Stat

e an

d fla

g St

ate.

ISA

All

ISA

regu

latio

ns

and

appl

icab

le

IMO

re

gula

tions

This

prov

ision

und

ersc

ores

that

inte

rnat

iona

l m

ariti

me

rule

s an

d st

anda

rds

appl

y sid

e-by

-sid

e se

abed

min

ing

regu

latio

n.

Dra

ft re

-g

ula

tio

n 94

(Ad

op-

tion

of

Stan

dard

s)

1.

The

Com

miss

ion

shal

l, ta

king

in

to

acco

unt

the

view

s of

rec

ogni

zed

expe

rts,

rele

vant

Sta

keho

lder

s an

d re

leva

nt e

xist

ing

inte

rnat

iona

lly a

ccep

ted

stan

dard

s, m

ake

reco

mm

enda

tions

to

the

Coun

cil

on t

he

adop

tion

and

revi

sion

of S

tand

ards

rela

ting

to E

xplo

itatio

n ac

tiviti

es in

the A

rea,

incl

udin

g bu

t not

lim

ited

to st

anda

rds r

elat

ing

to:

(a) O

pera

tiona

l saf

ety;

(b) T

he c

onse

rvat

ion

of th

e Re

sour

ces;

and

(c) T

he p

rote

ctio

n of

the

Mar

ine

Envi

ronm

ent,

incl

udin

g st

anda

rds o

r req

uire

men

ts re

latin

g to

the

Env

ironm

ent

Effe

cts

of E

xplo

itatio

n ac

tiviti

es, a

nd re

ferre

d to

in re

gula

tion

45.

ISA

All

ISA

regu

latio

ns,

ISM

Co

de

and

Lond

on

Conv

entio

n &

Prot

ocol

w

aste

as

sess

men

t gu

idel

ines

The

ISM

Cod

e an

d Lo

ndon

Con

vent

ion

and

Prot

ocol

’s w

aste

ass

essm

ent g

uide

lines

are

po

tent

ially

rele

vant

inte

rnat

iona

lly a

ccep

ted

stan

dard

s.

86


Dra

ft Ex

-p

loit

atio

n R

eg

ula

-tio

ns

Dra

ft Re

-g

ula

tio

n 95

(Is

sue

of G

uide

li-ne

s)

1. T

he C

omm

issio

n or

the

Secr

etar

y-G

ener

al

shal

l, fro

m ti

me

to ti

me,

issu

e G

uide

lines

of a

te

chni

cal o

r adm

inist

rativ

e na

ture

, tak

ing

into

ac

coun

t the

vie

ws

of re

leva

nt S

take

hold

ers.

Gui

delin

es w

ill s

uppo

rt th

e im

plem

enta

tion

of th

ese

Regu

latio

ns fr

om a

n ad

min

istra

tive

and

tech

nica

l per

spec

tive.

2.

The

full

text

of

such

Gui

delin

es s

hall

be

repo

rted

to th

e Co

unci

l. Sh

ould

the

Coun

cil

find

that

a G

uide

line

is in

cons

isten

t w

ith

the

inte

nt a

nd p

urpo

se o

f the

Rul

es o

f the

Au

thor

ity, i

t may

requ

est t

hat t

he g

uide

line

be m

odifi

ed o

r with

draw

n.3.

The

Com

miss

ion

or th

e Se

cret

ary-

Gen

eral

sh

all

keep

und

er r

evie

w s

uch

Gui

delin

es

in t

he l

ight

of

impr

oved

kno

wle

dge

or

info

rmat

ion.

ISA

Vario

us

inte

rnat

iona

l co

des

and

guid

elin

es

(e.g

., IM

O in

stru

men

ts).

The

ISM

Cod

e an

d Lo

ndon

Con

vent

ion

and

Prot

ocol

’s w

aste

ass

essm

ent g

uide

lines

are

po

tent

ially

use

ful m

odel

s for

the

issua

nce

of

guid

elin

es b

y IS

A.