KOMMISSIONEN FOR DE EUROPÆISKE FÆLLESSKABER 
KOM(94) 305 endelig udg. 
Bruxelles, den 13.07.1994 
94/0182 (ACC) 
MEDDELELSE FRA KOMMISSIONEN TIL RÅDET 
om resultaterne af "de uformelle 
konsultationer", der har været ført af De Forenede Nationers 
generalsekretær for at sikre universel accept af De Forenede 
Nationers havretskonvention fra 1982; 
Forslag til Rådets afgørelse 94/0182 (ACC) 
om undertegnelse af aftalen om anvendelse af kapitel XI 
i De Forenede Nationers havretskonvention fra 1982 og 
om Det Europæiske Fællesskabs midlertidige anvendelse af denne aftale 
samt kapitel XI i nævnte konvention 
(forelagt af Komi salonen) 
I. INDLEDNING 
Konventionen, som hidtil er ratificeret af 61 stater, hvoraf alle undtagen Island, det tidligere 
Jugoslavien og Malta er udviklingslande, træder i kraft den 16. november 1994, et år efter den 
60. ratifikation. 
De industrialiserede lande har ikke ratificeret den, og nogle af dem, især Tyskland, Det 
Forenede Kongerige og USA har endog ikke undertegnet den, da de finder, at kapitel XI om 
udnyttelse af havbunden er udtryk for en dirigistisk, bureaukratisk og uhyre 
omkostningskrævende ordning, medens udviklingslandene har opfattet kapitel XI som den 
første realisering af "den nye økonomiske verdensorden". 
Det er kun på grund af de politiske og økonomiske ændringer inden for de seneste år og de 
enorme finansielle byrder, de ville være nødt til at påtage sig uden de industrialiserede landes 
medvirken, at udviklingslandene har erkendt, at det er nødvendigt at ændre ordningen for 
udnyttelse af havbunden for at gøre konventionen universelt acceptabel. 
Derfor tog FN's generalsekretær, Perez de Cuellar, i 1990 initiativ til at indkalde et antal 
interesserede stater for at fa konstateret, hvilke aspekter af kapitel XI der skaber de største 
problemer for de industrialiserede lande og for at søge at nå frem til kompromisløsninger. 
Alle interesserede stater og EF kunne deltage i anden fase af disse konsultationer. 
Denne fase blev afsluttet den 3. juni 1994 med udarbejdelse af et udkast til resolution og et 
udkast til aftale om anvendelse af kapitel XI. 
Et meget stort flertal af de tilstedeværende delegationer gav udtryk for deres tilfredshed. En 
enkelt stat, Den russiske Føderation, erklærede, at resultaterne ikke var tilfredsstillende, da flere 
af dens forslag var blevet afvist af G-77's delegationer. 
Udkastene bliver forelagt FN's 48. Generalforsamling, som er genindkaldt til den 27.-29 juli 
1994 med henblik på vedtagelsen af dem. Umiddelbart efter vedtagelsen vil aftalen være åben 
for undertegnelse. 
I medfør af bestemmelserne i konventionen, som EF undertegnede den 7. december 1984, kan 
EF ikke undertegne aftalen, uden at mindst flertallet af dets medlemsstater har undertegnet den 
på forhånd (jf. aftalens art. 3; konventionens art. 305, stk. 1, litra f), og konventionens bilag IX, 
artikel 2). 
II. EVALUERING AF UDKASTENE TIL RESOLUTION OG AFTALE 1) 
1. INDLEDNING 
1.1. Da EF undertegnede De Forenede Nationers havretskonvention den 7. december 
1984, fremsatte det følgende erklæring: 
Ved undertegnelsen af De Forenede Nationers havretskonvention erklærer Det 
Europæiske konomiske Fællesskab, at det finder, at konventionen inden for havrettens 
rammer er udtryk for en storstilet indsats i forbindelse med kodificeringen og den 
gradvise udvikling af folkeretten på de områder, som dets erklæring i medfør af artikel 
2 i bilag IX til konventionen henviser til. EF vil gerne udtrykke håb om, at denne 
udvikling vil blive et nyttigt middel til at fremme samarbejdet og stabile relationer 
mellem alle lande på disse områder. 
EF finder imidlertid, at meget væsentlige bestemmelser i konventionens kapitel 
XI ikke bidrager til udvikling af de aktiviteter, som dette kapitel henviser til, i 
betragtning af at adskillige af EF's medlemsstater allerede har tilkendegivet, at 
dette kapitel indeholder betydelige mangler og ufuldkommenheder, som bør 
korrigeres. EF anerkender betydningen af det arbejde, der stadig mangler at 
blive gjort, og håber, at der kan opnås enighed om betingelser for 
gennemførelsen af en ordning for havminedrift, som er generelt acceptable og 
derfor må formodes at fremme aktiviteterne i det internationale 
havbundsområde. EF vil inden for sine beføjelsers rammer spille sin fulde rolle 
for at bidrage til arbejdet med at finde tilfredsstillende løsninger. 
En separat afgørelse om formel bekræftelse vil skulle træffes på et senere tidspunkt. 
Den vil blive truffet i lyset af resultaterne af bestræbelserne på at nå frem til en 
universelt acceptabel konvention. 
1.2. Andre industrialiserede lande, især dem, der er interesseret i udnyttelsen af havbunden, 
fremsatte lignende erklæringer. 
1.3. Den Forberedende Kommission for Den Internationale Havbundsmyndighed og 
Den Internationale Havretsdomstol har vist sig at være de passende rammer for 
udarbejdelse af regler, forskrifter og procedurer, så længe disse var af teknisk og 
"neutral" art, men ikke velegnede til at rette op på "mangler og ufuldkommenheder". 
1 ) Denne evaluering, som er udarbejdet af Kommissionens tjenestegrene, blev godkendt den 2.6.1994 
i New York af medlemmerne af gruppen af hYjtstaende embedsmænd "havret" i deres personlige 
egenskab. 
2 
1.4. Sidst i firserne kunne det konstateres, at konventionen næsten udelukkende var blevet 
ratificeret af udviklingslande (med undtagelse af Island og Jugoslavien), og at de 
industrialiserede lande i st og Vest ikke ville ratificere den, så længe ordningen for 
havminedrift forblev uændret. En række vigtige politiske og økonomiske ændringer 
har fundet sted, siden vedtagelsen af konventionen foranledigede FN's generalsekretær 
til at at gøre en ny indsats for at få denne universelt accepteret. 
1.5. Han indbød et begrænset antal udviklingslande og industrialiserede stater med en 
særlig interesse til "uformelle konsultationer", hvor man fremhævede otte elementer i 
kapitel XI, som udgjorde de vigtigste grunde til, at de industrialiserede stater ikke har 
ratificeret eller tiltrådt konventionen: 
Omkostningerne for deltagende stater 
Produktionsselskabet 
Myndighedens beslutningsprocedurer 
Revisionskonferencen 
Overførsel af teknologi 
Produktionsbegrænsninger 
Kompensationsfonden 
Finansielle aftalebetingelser 
1.6. Efter næsten fire år har konsultationerne - som siden begyndelsen af 1992 havde været 
åbne for alle interesserede stater og EF - ført til aftaler om alle otte punkter og om 
etablering af et underorgan under Myndigheden, som skal tage sig af finansielle 
spørgsmål (konventionens artikel 162, stk. 2, litra y)), den såkaldte "Finanskomite". 
1.7 I sidste fase af konsultationerne kunne de deltagende delegationer også blive enige om, 
hvilken retlig form resultaterne af forhandlingerne skulle have, idet man blev enig om 
at udarbejde et udkast til en aftale om gennemførelse af konventionens kapitel XI. 
Løsningen på de otte fremhævede problemer og bestemmelserne om etablering af 
"Finanskomiteen" udgør et bilag til aftalen. Det første afsnit, som behandler problemet 
vedrørende "omkostningerne for deltagende stater", indeholder også bestemmelser om 
"institutionelle arrangementer". 
2. GENNEMFØRELSESAFTALEN 
2.1. Aftalen er et retligt bindende instrument, som ændrer bestemmelserne i konventionens 
kapitel XI. Den foreskriver, at bestemmelserne i aftalen og kapitel XI fortolkes og 
anvendes sammen som et enkelt dokument. Hvis der er uoverensstemmelser mellem de 
to tekster, har aftalens bestemmelser forrang. 
2.2. Aftalen imødekommer både de stater - herunder EF og dets medlemsstater - som hidtil 
har nægtet at ratificere eller tiltræde konventionen pga. ordningen for havminedrift, og 
de stater, der allerede har ratificeret den, men som for at opnå en universel accept af 
den har accepteret at ændre visse bestemmelser i kapitel XI, forudsat at princippet om, 
at Området og dets ressourcer er menneskehedens fælles arv, opretholdes, og at der er 
en klar tilkendegivelse om, at stater, som til at begynde med nægtede at acceptere den 
oprindelige minedriftsordning, vil acceptere den ændrede konvention. 
Med bestemmelsen om midlertidig anvendelse undgår man i det omfang, det er muligt, 
en situation, hvor forskellige medlemsstater, i det mindste for en periode, anvender 
forskellige versioner af konventionen: Fra konventionens ikrafttrædelse og indtil 
aftalens ikrafttrædelse, anvendes sidstnævnte midlertidigt 
- af alle stater, der i FN's Generalforsamling har stemt for vedtagelsen, og som ikke 
før konventionens ikrafttræden udtrykkeligt har underrrettet depositaren om, at de 
ikke agter at gøre det, 
- af stater, der har undertegnet aftalen og ikke underrettet depositaren om, at de 
ikke agter at anvende aftalen midlertidigt, 
- af stater, som har tiltrådt aftalen 
Dette udelukker ikke, at stater, der har stemt imod vedtagelsen af aftalen, eller som 
ikke var repræsenteret ved mødet i Generalforsamlingen, kan anvende konventionen i 
sin uændrede form. Men der er ingen tvivl om, at aftalen vil fa tilslutning fra næsten 
alle de stater, der var repræsenteret ved de "uformelle konsultationer" og især fra de 
udviklingslande blandt dem, der allerede har ratificeret konventionen, og som ved 
deres tilstedeværelse har tilkendegivet deres interesse i ordningen for havminedrift. 
2.3. Stater kan på forskellige måder give udtryk for, at de accepterer at være bundet af 
konventionen (artikel 4 og 5). Den forenklede procedure gør det muligt for 
regeringerne i stater, der allerede har ratificeret konventionen, at give deres stiltiende 
samtykke, hvis de ønsker det. De andre måder at gøre det på er undertegnelse, der 
ikke kræver ratificering, ratificering og tiltrædelse. For EF gælder konventionens 
procedure vedrørende formel bekræftelse fra "internationale organisationer" (bilag IX, 
artikel 3). 
2.4. Aftalen træder i kraft 30 dage efter den dato, hvor 40 stater har givet deres samtykke 
til at være bundet af den, forudsat at disse stater omfatter mindst syv såkaldte 
"pionerinvestorstater" (resolution II, stk. 1, litra a)) 2, hvoraf mindst fem skal være 
industrialiserede stater. Dette giver udviklingslandene en forsikring om, at ændringerne 
af kapitel XI, som de har tilsluttet sig, har ført til det tilsigtede resultat, dvs. 
industrialiserede staters accept af konventionen. 
2.5. Af samme grund foreskriver aftalen (artikel 7, stk. 3), at den midlertidige anvendelse 
ophører den 16. november 1998, dvs. fire år efter konventionens ikrafttræden, hvis de i 
stk. 4 nævnte betingelser ikke på det tidspunkt er blevet opfyldt. 
Omfatter Belgien, Tyskland, Frankrig, Italien, Nederlandene og Det Forenede Kongerige 
4 
2.6. Konklusion 
Aftalen og dens bestemmelser vedrørende den midlertidige anvendelse vil give de 
industrialiserede lande, som endnu ikke har ratificeret konventionen, fuld adgang til 
Myndighedens organer og give dem tilstrækkelig lang tid til inden den 15. november 
1998 at få afsluttet deres interne ratificerings- eller tiltrædelsesprocedurer. På den 
anden side vil de udviklingslande, der allerede har ratificeret konventionen, fa 
tilfredsstillende garantier om, at de indrømmelser, de har givet under konsultationerne, 
modsvares af den universelle accept, som konventionen nu vil nyde godt af. 
3. BILAGET TIL GENNEMFØRELSESAFTALEN 
3.1. OMKOSTNINGER FOR DELTAGENDE STATER OG INSTITUTIONELLE 
ARRANGEMENTER 
3.1.1. OMKOSTNINGER FOR DELTAGENDE STATER 
3.1.1.1. Bestemmelserne i konventionens kapitel XI 
Den Internationale Havbundsmyndighed og dens sekretariat som defineret i 
konventionens kapitel XI er blevet kritiseret for at være bureaukratisk, "dirigistisk", 
interventionistisk og overordentlig dyr. De industrialiserede lande i almindelighed og 
EF og dets medlemsstater især kunne ikke acceptere 
• visse bestemmelser i kapitel XI, som pålægger Produktionsselskabet meget høje 
finansielle forpligtelser, især forpligtelsen til at yde langfristede rentefrie lån i et 
omfang, der svarer til 50% af de midler, der er nødvendige for at udforske og 
udnytte et udvindingssted og transportere, forarbejde og markedsføre de udvundne 
mineraler ... og for at afholde de initiale administrationsomkostninger, samt 
forpligtelsen til at bidrage til Kompensationsfonden, der yder bistand til 
landbaserede producenter i udviklingslande, der påvirkes heraf (se kapitel 3.2. og 
3.7. ndf); 
• at der etableres en fuldt udbygget myndighed med alle underorganer og et stort 
sekretariat umiddelbart efter konventionens ikrafttræden, dvs. mindst femten år før 
den første kommercielle operation indledes, og før mange af Myndighedens 
beføjelser skal udøves. 
3.1.1.2. Gennemførelsesaftalen 
Det anerkendes i aftalen, at Myndighedens aktiviteter vil være begrænset efter 
konventionens ikrafttrædelse, så længe havminedrift ikke er økonomisk rentabel. 
Derfor skal de forskellige hoved- og underorganers oprettelse og funktion baseres på 
en gradvis udvikling og på omkostningseffektivitet. Aftalen identificerer præcist, hvilke 
aktiviteter Myndigheden skal koncentrere sig om i perioden før godkendelsen af den 
første arbejdsplan for udnyttelsen. 
Med aftalen nedsættes der en finanskomite (afsnit 9), hvis rekommandationer 
Forsamlingen og Rådet skal tage hensyn til i alle beslutninger om finansielle 
anliggender. Beslutninger truffet af Finanskomiteen i spørgsmål af større rækkevidde 
træffes ved konsensus (se kapitel 3.9. ndf). Indtil Myndigheden er selvfinansierende, 
skal medlemskab af komitéen ( 15 medlemmer) omfatte de fem største bidragsydere 
(USA, Japan, Tyskland, Rusland, Frankrig) til Myndighedens administrationsbudget. 
Desuden fjerner bestemmelserne i afsnsit 2 og 7 i aftalen alle finansielle forpligtelser 
som følge af etableringen ,af Produktionsselskabet og en "kompensationsfond" (se 
kapitel 3.2. og 3.7. ndf). 
Endelig foreskrives det i aftalen, at registrerede pionerinvestorer kan anmode om 
godkendelse af en arbejdsplan for udnyttelse inden for 36 måneder efter konventionens 
ikrafttrædelse, og at gebyret på 250 000 US$ indbetalt i henhold til resolution II skal 
anses som gebyret for udforskningsfasen. Aftalen knæsætter også det princip, at der 
ikke må ske forskelsbehandling af arrangementer for registrerede pionerinvestorer og 
arrangementer for stater eller instanser, der har anmodet om Myndighedens 
godkendelse af en arbejdsplan. 
3.1.1.3. Evaluering 
Omkostningerne for de deltagende stater er blevet reduceret af tre grunde: 
• I den lange periode, før udnyttelsen af området bliver rentabel, vil 
Myndigheden kun have et begrænset antal funktioner. Princippet om en 
gradvis udvikling bør sikre, at antallet og varigheden af Forsamlingens og 
Rådets møder i dette tidsrum bliver af yderst begrænset varighed, at der kun 
vil blive oprettet underorganer, hvis det er nødvendigt, og at Sekretariatet 
bliver meget lille, da dets opgaver er nøjagtigt defineret. Rådet, som træffer 
beslutninger efter "kammerafstemningssystemet" (se kapitel 3.3. ndf.) og 
bistås af "Finanskomiteen" (kapitel 3.9. ndf.) vil overvåge, at princippet om 
omkostningseffektivitet overholdes nøje. 
Selv efter den første periode vil Myndighedens funktioner være betydeligt 
mere begrænsede, end de ville have været i medfør af det oprindelige kapitel 
XI, fordi aftalen har afbureaukratiseret Myndigheden: Funktioner, som ville 
have medført etablering af større administrative afdelinger i Sekretariatet 
(f.eks. produktionsbegrænsningssystemet og administrationen af en 
"kompensationsfond") er erstattet af mindre bureaukratiske bestemmelser. 
Endelig er de finansielt mest farlige bestemmelser i konventionen -
vedrørende de deltagende stater finansiering af Produktionsselskabets første 
udvindingssted (se kapitel 3.2. ndf.) og af en "kompensationsfond" (se kapitel 
3 7.) definitivt fjernet. 
3.1.2. INSTITUTIONELLE ARRANGEMENTER 
3.1.2.1. Gennemførelsesaftalen 
3.1.2.1.1 .Midlertidigt medlemskab 
Aftalen vil kunne træde i kraft, før alle stater, og især alle de sponsorerende stater, har 
afsluttet deres ratificeringseller tiltrædelsesprocedurer. Aftalen indeholder derfor en 
bestemmelse om, at disse stater har mulighed for at fortsætte som medlemmer af 
Myndigheden på midlertidig basis eller kan anmode Rådet om at bevilge et sådant 
fortsat medlemskab for perioden mellem den 15. november 1996 og den 16. november 
1998. 
En godkendt arbejdsplan for udnyttelse skal, hvis den sponsoreres af mindst en stat, 
der anvender aftalen midlertidigt, ikke længere have gyldighed, hvis denne stat ophører 
med at anvende aftalen (artikel 7) og hverken er blevet medlem på midletidig basis 
eller deltagende stat. 
3.1.2.1.2. Rettigheder og forpligtelser for midlertidige medlemmer af Myndigheden 
Sådanne medlemmer anvender aftalens kapitel XI i overensstemmelse med deres 
nationale eller internationale lovgivning og årlige budgetbevillinger og har samme 
rettigheder og forpligtelser som andre medlemmer, herunder forpligtelsen til at bidrage 
til Myndighedens administrationsbudget (se afsnit 3.1.2.1.3. ndf) og retten til at 
sponsorere en ansøgning om en arbejdsplan for udnyttelse. 
Hvis et sådant medlem har undladt at overholde sine forpligtelser, ophører dets 
midlertidige medlemskab. 
31.21.3 .Midlertidig finansiering af Myndigheden via FN's budget 
Indtil udgangen af det andet år efter aftalens ikrafttrædelse afholdes Myndighedens 
administrative udgifter via FN's budget, forudsat at Generalforsamlingen træffer 
afgørelse herom (paragraf 7 i udkastet til FN's Generalforsamlings resolution 
indeholder en sådan afgørelse). 
3.1.2.1.4.Regler, forskrifter og procedurer 
Bestemmelserne i konventionens artikel 162, stk. 2, litra o), underlitra ii), hvori det 
angives, for hvilke anliggender Myndigheden kan vedtage regler, forskrifter og 
procedurer, udvides til aftalens bestemmelser om Produktionsselskabet, 
teknologioverførsel, produktionspolitik og finansielle kontraktbestemmelser. Hvis 
Rådet ikke har færdigudarbejdet reglerne, forskrifterne og procedurerne vedrørende 
udnyttelse inden for det foreskrevne tidsrum, skal det tage en arbejdsplan for 
udnyttelse op til behandling og efter omstændighederne godkende den midlertidigt. 
3.1.2.2. Evaluering 
Den midlertidige finansiering af Myndighedens administrationsomkostninger via 
FN-budgettet løser problemerne for de stater, som af forfatningsmæssige grunde 
ikke kan bidrage til en international organisations budget uden at have tiltrådt 
organisationen. 
Bestemmelserne om vedtagelse af regler, forskrifter og procedurerer er udformet 
under hensyntagen til, at detaljerede bestemmelser mht. til for mange aspekter 
af havminedrift ikke kan vedtages, før de økonomiske, teknologiske og 
miljømæssige betingelser for havminedrift er bedre kendt, dvs. på et tidspunkt, 
når kommerciel udnyttelse kan finde sted en gang i den nærmeste fremtid. 
Systemet med "medlemskab på midlertidig basis" giver stater med komplicerede 
eller langvarige ratificeringsprocedurer en forsikring om, at de kan fortsætte 
med at være medlemmer af Myndigheden på midlertidig basis efter aftalens 
ikrafttræden indtil den 15. november 1998! 
3.2. PRODUKTIONSSELSKABET 
3.2.1. Bestemmelserne i kapitel XI i konventionen og i bilag IV 
Etableringen af Produktionsselskabet blev ved konventionens vedtagelse af mange 
udviklingslande betragtet som den første manifestation af "den nye økonomiske 
verdensorden". Af de samme grunde er "parallelsystemet" blevet kritiseret i de vestlige 
industrialiserede lande som værende uforeneligt med deres økonomiske system, fordi 
det skabte et internationalt "statsligt selskab", som gennem Myndigheden var udsat for 
politisk indblanding, skulle finansieres ved uhyre store bidrag fra de deltagende stater 
og nød godt af mange privilegier i forhold til sine konkurrenter, dvs. kunne foretage 
forundersøgelser i det reserverede område på bekostning af sine konkurrenter, nød 
godt af omkostningsfri finansiering af det første minedriftsprojekt, var fritaget for 
betalinger til Myndigheden i en indledende periode på ti år, nød immunitet for arrest, 
udlæg og eksekution før afsigelse af endelig dom mod den og havde ret til tvungen 
overførsel af teknologi fra sine konkurrenter. Det blev også påpeget, at Produktions­
selskabet, hvis virksomhed var begrænset til en enkelt sektor, dvs. havminedrift, ville 
være yderst sårbar over for ustabiliteten på de internationale råvaremarkeder. 
3.2.2. Gennemførelsesaftalen 
Da det vil vare mindst femten år, før havminedrift bliver rentabel, vil 
Produktionsselskabets aktiviteter hovedsagelig bestå i at følge tendenser og vurdere 
data. Derfor vil dets funktioner i begyndelsen blive varetaget af Myndighedens 
sekretariat. 
Produktionsselskabet iværksætter sine første kommercielle operationer via 
fællesforetagender ("joint ventures"). Kun i tilfælde af, at en arbejdsplan for udnyttelse 
på en anden kontrahents vegne godkendes, eller hvis der anmodes om samarbejde i et 
fællesforetagende, skal Rådet overveje, om Produktionsselskabet skal fungere 
uafhængigt af sekretariatet. Hvis et fællesforetagende kan gennemføres efter sunde 
forretningsmæssige principper, træffer Rådet beslutning om, at Produktionsselskabet 
skal fungere uafhængigt. 
Deltagende stater er på ingen måde forpligtede til at finansiere nogen af 
Produktionsselskabets operationer, herunder operationer i forbindelse med 
fællesforetagender. 
Alle forpligtelser, der gælder for kontrahenter, skal også gælde for 
Produktionsselskabet. 
En kontrahent, der har bidraget med et særligt område til Myndigheden som det 
reserverede område, skal have ret til at afslå at indgå i et fællesforetagende med 
Produktionsselskabet, eller hvis Produktionsselskabet ikke forelægger en ansøgning 
om en arbejdsplan, senest femten år efter at det er begyndt at fungere uafhængigt, kan 
kontrahenten ansøge om en arbejdsplan for dette område med Produktionsselskabet 
som joint venture-partner. 
3.2.3. Evaluering 
Det har været fremført, også inden for Den europæiske Union, at 
Produktionsselskabet som sådant ikke er foreneligt med markedsøkonomiske 
principper. På den anden side er det stadig for mange udviklingslande symbolet 
på princippet om menneskehedens fælles arv. 
I aftalen har man bevaret Produktionsselskabet, men har fjernet de elementer, 
der ikke er forenelige med en international markedsøkonomi. Selv når selskabet 
får lov til at fungere uafhængigt af sekretariatet, vil det ikke være mere end en 
slags halv-autonomt organ for administration af Myndighedens egne 
mineralressourcer. 
Formelt foreskriver aftalen kun, at Produktionsselskabet skal gennemføre sine 
indledende minedriftsoperationer via fællesforetagender. Men selv på lang sigt 
vil det ikke være i stand til at finansiere en uafhængig operation, fordi de 
deltagende stater ikke er forpligtede til at finansiere et af Produktionsselskabets 
udvindingssteder, og udviklingslandene, især landbaserede producenter, vil ikke 
nære ønske om, at det akkumulerer alt overskud fra fællesforetagender til dette 
formål i stedet for at overføre dette overskud til Fonden for konomisk Bistand 
eller anvende det andre udviklingsformål. 
Aftalen indeholder en forsikring om, at der ikke vil finde forskelsbehandling sted 
mellem Produktionsselskabet og andre operatører. 
Da Produktionsselskabet ikke vil komme til at fungere uafhængigt fra 
sekretariatet, før havminedrift bliver rentabel, overholdes princippet om 
omkostningseffektivitet. 
Af disse grunde er aftalens bestemmelser vedrørende Produktionsselskabet 
acceptable. 
3.3. BESLUTNINGSPROCEDUREN 
3.3.1. Bestemmelserne i konventionens kapitel XI 
Som det er tilfældet med FN, vil Havbundsmyndighedens medlemmer omfatte en lang 
række meget små udviklingslande, hvis individuelle finansielle bidrag er begrænset til 
0,01% af budgettet. I overensstemmelse med principperne om staternes suverænitet og 
lighed er alle deltagende stater repræsenteret i Forsamlingen, som træffer sine 
beslutninger i væsentlige spørgsmål med to tredjedeles flertal. 
Konventionen indeholder ikke tilstrækkelig modvægt til disse principper i form af en 
erkendelse af, at Myndighedens beslutninger vil påvirke visse kategorier af staters 
meget vigtige finansielle og økonomiske interesser, og at disse legitime interesser ikke 
betingelsesløst kan underkastes flertalsbeslutninger. 
10 
At der findes specifikke interesser anerkendes i bestemmelserne om Rådet, som sikrer 
en mindsterepræsentation af grupper af forbrugere, investorer, landbaserede 
producenter og udviklingslande med særlige interesser. Da imidlertid Rådet med sine 
36 medlemmer træffer sine beslutninger i væsentlige spørgsmål med to tredjedeles eller 
i nogle tilfælde tre fjerdedeles flertal, kan en hvilken som helst af disse grupper let 
komme i mindretal (dette vedrører ikke kun industrialiserede landes interesser: Også 
udviklingslandenes landbaserede producenters interesser kan påvirkes i negativ 
retning). 
Hvad angår EU-medlemsstaternes interesser kunne dette ske i forbindelse med 
beslutninger om finansielle anliggender, om regulering og administration af 
havminedrift, Produktionsselskabet og visse råvarepolitiske aspekter. 
3.3.2. Gen nem førelsesaft alen 
Som generel regel bør beslutninger i Myndighedens organer træffes ved konsensus. 
Hvis alle muligheder for at nå frem til en beslutning ved konsensus er opbrugt, træffes 
beslutninger ved afstemning efter følgende retningslinjer: 
* Bestemmelserne om afstemning i Forsamlingen er fortsat uændrede. 
Imidlertid skal beslutninger om ethvert anliggende, for hvilket Rådet også har 
beføjelser, eller om ethvert administrativt, budgetmæssigt eller finansielt 
anliggende baseres på Rådets rekommandationer. Hvis Forsamlingen ikke 
accepterer rekommandationen, sender den sagen tilbage til Rådet, som 
behandler den på ny i lyset af de synspunkter, Forsamlingen har givet udtryk 
for. 
* I Rådet etableres der fire kamre: 
1. fire medlemmer, der repræsenterer de største forbrugerlande, herunder 
det største i det østeuropæiske område (Rusland) og den den stat, der 
har den største økonomi på datoen for konventionens ikrafttræden 
(USA); 
2. fire medlemmer, der repræsenterer de otte største investorer, 
3. fire medlemmer, der repræsenterer de landbaserede producenter, 
herunder mindst to udviklingslande; 
4. de udviklingslande, der er udvalgt som de seks udviklingslande med 
særlige interesser, og dem, der er udvalgt efter princippet om ligelig 
geografisk fordeling. 
li 
Rådet træfter beslutninger om væsæentlige spørgsmål (hvis der ikke har 
kunnet opnås konsensus) med to tredjedeles flertal, forudsat at det ikke har et 
flertal imod sig i et af de fire kamre. 
Beslutninger truffet af Forsamlingen eller Rådet, der har finansielle eller 
budgetmmæssige følger, baseres på Finanskomiteens rekommandationer. 
3.3.3. Evaluering 
Kammerafstemningssystemet udelukker muligheden for, at en enkelt stat ved 
hjælp af et veto kan paralysere Rådets beslutningsprocedure, men det beskytter 
de vigtigste interessegrupper ved at give dem kollektive vetobeføjelser. 
Den fjerde kategori af rådsmedlemmer (udviklingslande med særlige interesser), 
som er defineret på grundlag af kriterier, der ikke har relation til havminedrift, 
kunne ikke anerkendes som et kammer. Der blev derfor opnået enighed om at 
danne et større kammer bestående af alle udviklingslande, der er repræsenteret i 
Rådet (undtagen udviklingslande, der er repræsenteret i de første tre kamre). 
Denne bestemmelse vil ikke få nogen praktisk virkning, fordi en beslutning med 
to tredjedeles flertal, der går udviklingslandene imod, er så godt som udelukket. 
Det forhold, at Forsamlingens beslutninger i alle vigtige anliggender skal baseres 
på Rådets rekommandationer, gør Rådet til Myndighedens centrale organ og 
sikrer, at mindretalsinteresser også beskyttes i Forsamlingen. 
Forpligtelsen til at basere Forsamlingens eller Rådets beslutninger, der har 
finansielle eller budgetmæssige følger, på Finanskomiteens rekommandationer, 
giver en yderligere interessebeskyttelse for de medlemsstater, som vil være 
blandt de største bidragsydere til Myndighedens budget. 
Der er taget hensyn til EF's medlemsstaters interesse i at have adgang til de 
første to kamre: USA er ikke defineret som medlem af Gruppen af 
Vesteuropæiske og Andre Stater (WEOG), således at en medlemsstats 
kandidatur ikke kan afvises med det argument, at WEOG allerede er 
repræsenteret. Da USA også kan vælge at tilhøre et andet kammer end det 
første, vil der være større fleksibilitet med hensyn til medlemsstaters 
repræsentation i det første kammer. Desuden gælder rotationsprincippet. 
12 
3.4. REVISIONSKONFERENCE 
3.4.1. Konventionens kapitel XI 
Konventionen indeholder bestemmelser om en konference, som femten år efter den 
første kommercielle operation skal tage hele systemet med udforskning og udnyttelse 
af Området op til fornyet overvejelse. Den skal udfolde enhver bestræbelse på at nå til 
enighed ved konsensus, men kan i sidste ende vedtage ændringer af systemet ved tre 
fjerdedeles flertal. Ændringerne træder i kraft med gyldighed for alle deltagende stater 
efter ratificering eller tiltrædelse af tre fjerdedele af de deltagende stater. 
Revisionskonferencen er blevet kritiseret af de industrialiserede stater af samme 
grunde som beslutningsprocedurerne: Den gør det muligt for flertallet at negligere 
mindretalsgruppers interesser. 
De industrialiserede stater har også understreget de forfatningsmæssige problemer, der 
opstår som følge af, at en ændring kunne blive gældende lov i deres lande efter 
ratificering af tre fjerdedele af de deltagende stater, selv om deres egne parlamenter 
eller regeringer ikke har godkendt den. 
3.4.2. Genemførelsesaftalen 
Bestemmelserne om Revisionskonferencen anvendes ikke. I stedet for konferencen kan 
Rådet på et hvilket som helst tidspunkt rette en henstilling til forsamlingen om at tage 
ordningen for havminedrift op til fornyet overvejelse. De ændringer, der kommer ud af 
dette, vil være omfattet af konventionens normale traktatændringsprocedurer (artikel 
314-316). 
Aftalen ændrer ikke artikel 316, stk. 5, som fastsætter, at en sådan ændring træder i 
kraft for alle deltagende stater, et år efter at tre fjerdedele af de deltagende stater har 
deponeret deres ratifikations- eller tiltrædelsesinstrumenter. 
3.4.3. Evaluering 
Den nye procedure yder mindretalsinteresser større beskyttelse. Rådets 
rekommandation til Forsamlingen er mere end blot en opfordring til at tage 
havminedriftssystemet op til fornyet overvejelse; Rådet kan nøjagtigt angive, 
hvilke ændringer den skønner nødvendige. Hvis Forsamlingen ikke er enig, skal 
den sende sagen tilbage til Rådet. 
De industrialiserede landes interesser vil gennem hele proceduren være beskyttet 
af konsensusprincippet. 
13 
Ikrafttrædelsen for alle deltagende stater efter ratifikation af ændringen af tre 
fjerdedele af de deltagende stater skal ses som et udslag af, at kapitel XI i 
konventionen ikke blot fastslår rettigheder og forpligtelser mellem deltagende 
stater (som i andre kapitler i konventionen), men skaber et omfattende 
regulerings- og administratiossystem for udnyttelse af Området. Sådan et system 
kan ikke fungere, hvis det ikke anvendes på ensartet måde (trods bestemmelsen i 
artikel 155, stk. 5, om, at ændringer ikke berører rettigheder erhvervet under 
eksisterende kontrakter). 
3.5. TEKNOLOGIOVERFØRSEL 
3.5.1. Konventionens kapitel XI og bilag III 
I henhold til bilag III, artikel 5, skal kontrahenten i enhver aftale om udforskning eller 
udnyttelse forpligte sig til at stille den teknologi, han agter at anvende i Området, og 
som han har lovmæssig ret til at overføre, til rådighed for Produktionsselskabet (eller 
udviklingslande, der har ansøgt om en kontrakt) på rimelige forretningsvilkår. 
Kontrahenten skal også forpligte sig til at skaffe en skriftlig forsikring fra ejeren af den 
teknologi, som han agter at benytte i Området, om, at ejeren er rede til at stille denne 
teknologi til rådighed for Produktionsselskabet eller udviklingslande. Hvis denne 
forsikring ikke kan skaffes, må kontrahenten ikke benytte den pågældende teknologi. 
Sådanne forpligtelser betragtes i nogle industrialiserede lande som et brud på 
rettighederne til intellektuel ejendom og som uforenelig med markedsøkonomiske 
principper. 
3.5.2. Gennemførelsesaftalen 
Da Produktionsselskabet vil iværksætte sine operationer gennem fællesforetagender, er 
bestemmelserne i bilag III, artikel 5, ikke længere aktuelle. Konventionens artikel 144, 
som også omhandler teknologioverførsel, som ikke pålægger kontrahenterne særlige 
forpligtelser, forbliver i kraft. 
3.5.3. Evaluering 
Gennemførelsesaftalen afskaffer princippet om obligatorisk overførsel af 
teknologi. Uvis bestemmelserne i artikel 144 nogensinde skulle blive anvendt -
hvilket er usandsynligt, da Produktionsselskabets aktiviteter altid vil være 
begrænset til fællesforetagender - vil kammerafstemningssystemet i Rådet 
beskytte de industrialiserede landes interesser. 
Aftalens bestemmelser er derfor acceptable. 
14 
3.6. PRODUKTIONSPOLITIK 
3.6.1. Bestemmelserne i konventionens kapitel XI 
I artikel 151, stk. 4, er der fastsat et produktionsloft for ethvert år i en 25-årig 
overgangsperiode. Loftet begrænser havmineproduktionen til 60% af vækstraten for 
den internationale nikkelproduktion, beregnet på basis af en udviklingstendens over en 
15-årig periode. 
Beregninger baseret på en sådan periode tager ikke hensyn til nye faktorer, og som 
udviklingen siden vedtagelsen af konventionen i 1982 allerede har vist, giver de nogle 
resultater, som ikke afspejler de reelle markedsforhold. 
Produktionsbegrænsningssystemet formodedes at beskytte udviklingslandenes 
landbaserede producenter af de fire mineraler indeholdt i mangannoduler. Imidlertid 
diskriminerer det havminedriften, idet aHe landbaserede producenter, både i de 
industrialiserede lande og i udviklingslandene, bskyttes. Faktisk ville produktionen i 
industrialiserede lande have større fordel af systemet end udviklingslandene: Af de fire 
metaller produceres kun kobolt hovedsagelig (74%) i udviklingslande, mens tallene for 
de andre tre er henholdsvis 45% (kobber), 28% (mangan) og 27% (nikkel). 
På den anden side beskytter systemet ikke koboltproducenterne i udviklingslandene, 
som mest sandsynligt vil blive negativt berørt af havminedrift, da en enkelt 
mineoperation på havbunden vil producere mere end 20% af det nuværende forbrug i 
verden. 
3.6.2. Anvendelsesaftalen 
Gennemførelsesaftalen erstatter produktionsbegrænsningssystemet i kapitel XI 
med regler for en produktionspolitik baseret på de nuværende og fremtidige 
bestemmelser i de relevante koder i GATTAVTO. Især henviser det til GATT's 
definition af tilladte og ikke-tilladte subsidier. Det pålægger landbaserede og 
havbundsbaserede producenter en forpligtelse til ikke at diskriminere mellem 
mineraler, der stammer fra Området, og mineraler fra andre kilder, og ikke at give 
præferenceadgang til sådanne mineraler. 
Deltagende stater, som er parter i GATTAVTO, skal have mulighed for at benytte 
sig af disse aftalers procedurer for bilæggelse af tvister. Imidlertid skal 
konventionens procedurer for bilæggelse af tvister anvendes i de tilfælde, hvor en eller 
flere parter i en tvist ikke er parter i GATTAVTO. Denne bestemmelse er ikke 100% 
tilfredsstillende, da den gør det muligt for institutioner, der ikke hører ind under 
GATT, at fortolke GATT-regler, men det er uundgåeligt, fordi GATTAVTO's 
procedurer for bilæggelse af tvister kun kan anvendes blandt parterne i disse aftaler. 
15 
Hvis det fastslås i en GATT/WTO-sammenhæng, at en deltagende stat har foretaget 
subsidiering, som er forbudt eller har haft negative følger for en anden deltagende stats 
interesser, skal sidstnævnte, hvis vedkommende er part i GATTAVTO-aftalerne, have 
valget mellem at tage passende forholdsregler i medfør af GATT-reglerne eller anmode 
Rådet for Havbundsmyndigheden om at træffe passende foranstaltninger. 
Under det nye produktionspolitiske system vil det ikke blot være forbudt for 
deltagende stater at give ikke-tilladte subsidier, men også for kontrahenter at 
acceptere dem. Accept af sådanne subsidier vil være en overtrædelse af de 
grundlæggende betingelser i kontrakten. En deltagende stat kan anmode Rådet om at 
træffe foranstaltninger over for en sådan kontrahent. Den sponsorerende stat og 
kontrahenten har mulighed for at benytte procedurerne for bilæggelse af tvister, som 
forvaltes af Afdelingen for Havbundstvister under Den Internationale Havretsdomstol. 
3.6.3. Evaluering 
Henvisningen til GATT-bestemmelserne sikrer rimelig konkurrence mellem 
landbaserede og havbundsbaserede producenter samt mellem de 
havbundsbaserede producenter indbyrdes. Det forhold, at GATTAVTO's 
procedurer for bilæggelse af tvister kun kan anvendes, hvis alle parterne i en 
tvist er parter i disse aftaler, er en konsekvens af GATT-procedurerne. Det er 
beklageligt, men uundgåeligt, at GATT-bestemmelser måske vil skulle fortolkes 
at Myndighedens Råd og af Afdelingen for Havbundstvister under Den 
Internationale Havbundsmyndighed i et begrænset antal tilfælde. Men da 
havminedrift ikke vil blive rentabel i hvert fald i de første femten år, er det 
meget sandsynligt, at alle potentielle havbundsproducentstater vil have tiltrådt 
WTO, før der for første gang iværksættes kommerciel produktion. 
3.7. ØKONOMISK BISTAND 
3.7.1. Bestemmelserne i konventionens kapitel XI 
Artikel 151, stk 10, og artikel 171, litra f), indeholder bestemmelser om en 
kompensationsfond, der skal bistå udviklingslande, som mærker de alvorlige negative 
følger af en nedgang i prisen på et mineral eller i det pågældende minerals 
eksportvolumen, hvis denne nedgang skyldes havminedrift. EF og dets medlemsstater 
har allerede i drøftelserne om havretskonventionen samt i andre fora fastholdt, at 
kompensationsfonde ikke er et incitament til at tilpasse sig nye økonomiske forhold, 
men er til fordel for opretholdelse af ikke-konkurrencedygtig produktion og derfor 
ikke nødvendigvis vil være af midlertidig karakter. 
16 
Til administration af en kompensationsfond ville Myndigheden ikke, selv om den blev 
bistået af et stort og dyrt bureaukrati, have den fornødne ekspertise til at hjælpe en 
negativt påvirket landbaseret producent med at udvikle alternative økonomiske 
aktiviteter uden for minesektoren. 
3.7.2. Gennemførelsesaftalen 
Aftalen erstatter Kompensationsfonden med en Fond for konomisk Bistand, fra hvilken 
Myndigheden yder bistand til negativt påvirkede landbaserede 
producentudviklingslande i samarbejde med eksisterende globale eller regionale 
udviklingsinstitutioner, der har den fornødne ekspertise. 
Fonden etableres ved hjælp af en del af midlerne fra Myndigheden, som overstiger, 
hvad der er nødvendigt til at dække administrationsudgifterne Kun betalinger fra 
kontrahenter, inklusive Produktionsselskabet, og frivillige bidrag anvendes. 
3.7.3. Evaluering 
Gennemførelsesbestemmelsens bestemmelser afspejler fuldt ud de holdninger, 
EF og dets medlemsstater har indtaget. 
3.8. FINANSIELLE KONTRAKTSVILKÅR 
3.8.1. Konventionens kapitel XI og bilag III 
De finansielle byrder, der pålægges kontrahenten, virker ikke befordrende for 
mineprojekter på havbunden. De betalinger, der skal foretages til Myndigheden, er 
højere end dem, der pålægges landbaserede producenter. Dette fratager industrien 
motivationen til at udvikle den nødvendige havmineteknologi og gå i gang med 
havminedriftsprojekter, så længe der er tilgængelige landbaserede ressourcer, selv med 
en lav produktivitetsgrad. 
Ved opkrævningen af en betydelig produktionslicens, som skal betales til 
Myndigheden, uanset om mineprojektet er nået op på et rentabelt niveau eller ej, tages 
der ikke hensyn til de høje omkostninger, der er forbundet med udvikling af 
mineudstyr og indsætning af dette i den indledende produktionsfase. 
17 
3.8.2. Gennemførelsesaftalen 
Bestemmelserne i bilag III, artikel 13, stk. 3 - 10, i konventionen vil ikke blive 
anvendt. Aftalen erstatter dem ikke med en anden ordning, men foreskriver en række 
principper, som danner grundlag for de regler, forskrifter og procedurer, der skal 
vedtages af Myndigheden på et senere tidspunkt (se 3.1.2.1.4. ovf). Systemet med 
finansielle betalinger skal 
• være rimelig set både fra kontrahentens og Myndighedens synspunkt, 
• ligge inden for rammerne for gældende betalinger for landbaseret minedrift, 
• være gennemsigtige og ikke pålægge Myndigheden eller kontrahenten store 
administrationsomkostninger. 
3.8.3. Evaluering 
Principperne for de regler, forskrifter og procedurer, der skal vedtages af 
Myndigheden, svarer til de krav, som de industrialiserede lande har stillet. Når 
man tager det kammerafstemningssystem i betragtning, der skal anvendes i 
Rådet, er aftalens bestemmelser acceptable. 
3.9. FINANSKOMITEEN 
3.9.1. Konventionens kapitel XI 
Artikel 162, stk. 2, litra y), forpligter Rådet til at etablere et underorgan til 
udarbejdelse af et udkast til finansielle regler, forskrifter og procedurer for finansielle 
anliggender. 
3.9.2. Gennemførelsesaftalen 
Med aftalen oprettes der en "Finanskomite", som ikke blot skal udarbejde udkast til 
regler, forskrifter og procedurer, men også fremsætte rekommandationer mht. alle 
Myndighedens aktiviteter med administrative og budgetmæssige konsekvenser. 
3.9.3. Evaluering 
Finanskomiteen nedsat i henhold til aftalen vil - i kombination med Rådets 
kammerafstemningssystem - sikre, at Myndigheden respekterer princippet om 
omkostningseffektivitet. 
18 
4. KONKLUSION 
4.1. De "mangler og ufuldkommenheder" i ordningen for h av m i ned rift, som EF 
havde kritiseret den 7. december 1984, da det undertegnede konventionen, er 
fjernet. De erstattes enten af fuldstændig tilfredsstillende bestemmelser i 
gennemførelsesaftalen eller vil af Myndigheden på et senere tidspunkt blive 
erstattet af regler, forskrifter eller procedurer baseret på kriterier, der er fastlagt 
i aftalen, og som skal vedtages i medfør af kammerafstemningssystemet. 
4.2. EF og dets medlemsstater har i lang tid accepteret princippet om 
"menneskehedens fælles arv". Det var kun omsætteisen af dette princip til et 
bureaukratisk og interventionistisk system, de ikke kunne acceptere. En del af 
det gamle sprog vil fortsat findes i kapitel XI og tilhørende bilag, men uden 
uønskede konsekvenser af politisk, økonomisk eller operationel art. 
4.3. Aftalen har gjort konventionen "universelt acceptabel". Den afspejler i vid 
udstrækning de holdninger, som EF og dets medlemsstater ofte har givet udtryk 
for. 
4.4. Aftalen vil blive vedtaget som et bilag til en resolution vedtaget af medlemmerne 
af FN's Generalforsamling. EF, som ikke er medlem af FN's Generalforsamling, 
vil ikke være i stand til at deltage i vedtagelsen og ved sin afstemning give udtryk 
for sit synpunkt om, at aftalen er i overensstemmelse med resultaterne af de 
"uformelle konsultationer", som EF har deltaget aktivt i. 
4.5. Imidlertid giver muligheden for at undertegne aftalen umiddelbart efter 
vedtagelsen EF en lejlighed til at give sin tilslutning til den. Ifølge bilag IX, 
artikel 2, i konventionen kan EF kun undertegne aftalen, hvis et flertal af dets 
medlemsstater er signatarer. Hvis EF skal kunne undertegne aftalen 
umiddelbart efter dens vedtagelse, vil det være nødvendigt, at i det mindste et 
flertal af dets medlemsstater gør det samtidig. 
4.6. Da "manglerne og ufuldkommenhederne" i kapital XI nu er fjernet, er det i EF's 
og dets medlemsstaters interesse at styrke konventionens universelle 
anvendelighed ved hurtigt at ratificere eller tiltræde den. Det ville få en betydelig 
politisk effekt, hvis alle medlemsstaterne og EF ville understrege denne fælles 
hensigt ved i fællesskab og samtidig at undertegne aftalen på den dato. 
19 
III. FORESLÅEDE AKTIONER 
1. Konventionens kapitel XI falder ligesom konventionens øvrige kapitler ind under EF's 
og medlemsstaternes fælles kompetence. Af ovennævnte grunde er Kommissionen af 
den opfattelse, at aftalen bør undertegnes af EF og dets medlemsstater umiddelbart 
efter vedtagelsen på FN's Generalforsamling, som er indkaldt til den 27.-29. juli i år. 
EF og dets medlemsstater, for så vidt deres respektive forfatninger muliggør det, bør 
anvende aftalen midlertidigt fra den 16. november 1994, som er datoen for 
konventionens ikrafttræden 
2. Den 7. december 1984 fremsatte EF ved undertegnelsen af konventionen en erklæring 
i overensstemmelse med artikel 2 i bilag IX (internationale organisationers deltagelse), 
"som nærmere angiver de områder omfattet af denne konvention, med hensyn til hvilke 
kompetence er blevet overført til organisationen af dens medlemsstater." EF 
erklærede, at EF for så vidt angår kapitel XI har beføjelser på det handelspolitiske 
område, herunder kontrol med illoyal økonomisk praksis. 
3. Det retlige grundlag for beslutningen om at undertegne aftalen er således EF-
traktatens artikel 113. Denne artikel danner ligeledes grundlag for beslutningen om 
midlertidig anvendelse, da denne kun gælder for konventionens kapitel XI. 
4. Da adskillige medlemsstater har tilkendegivet, at de agter at ratificere konventionen og 
aftalen hurtigt, sender Kommissionen snarest et udkast til formel bekræftelse, herunder 
et udkast til erklæring om beføjelserne i overensstemmelse med artikel 5 i 
konventionens bilag IX. Europa-Parlamentet vil på den måde have den nødvendige tid 
til at udarbejde sin udtalelse, og EF vil kunne foretage den formelle bekræftelse, så 
snart et flertal af medlemsstaterne har ratificeret eller tiltrådt konventionen og aftalen. 
5. Kommissionen foreslår derfor Rådet at træffe vedlagte afgørelse. 
20 
Bilag 
94/0182 (ACC) 
Forslag til Rådets afgørelse af 
om undertegnelse af aftalen om anvendelse af kapitel XI 
i De Forenede Nationers havretskonvention fra 1982 og 
om Det Europæiske Fællesskabs midlertidige anvendelse af denne aftale 
samt kapitel XI i nævnte konvention 
Rådet for Den Europæiske Union har -
under henvisning til traktaten om oprettelse af Det Europæiske Fællesskab, særlig 
artikel 113, 
under henvisning til Kommissionens forslag og 
ud fra følgende betragtninger: 
Denne aftale, som er kommet i stand efter De Forenede Nationers generalsekretærs 
uformelle drøftelser, sikrer havretskonventionens universelle accept; 
medlemsstaterne har tilkendegivet, at de agter at undertegne aftalen og, i det omfang 
deres forfatning tillader det, anvende den midlertidigt -
TRUFFET FLGENDE AFGRELSE: 
Artikel 1 
1. Aftalen om anvendelse af kapitel XI i De Forenede Nationers konvention fra 1982 
undertegnes af EF og dets medlemsstater i fællesskab umiddelbart efter dens 
vedtagelse på De Forenede Nationers Generalforsamling. 
2. Formanden for Rådet bemyndiges til at udpege den person, der er beføjet til at 
undertegne aftalen. 
3. Aftaleteksten er vedføjet som bilag. 
Artikel 2 
Den i artikel 1 nævnte aftale og kapitel XI i De forenede Nationers havretskonvention 
anvendes midlertidigt fra den 16. november 1994. 
På Rådets vegne 
21 
UNITED 
NATIONS A 
General Assembly 
Distr. 
GENERAL 
A/48/950 
9 June 1994 
ORIGINAL: ENGLISH 
Forty-eighth session 
Agenda item 36 
LAW OF THE SEA 
Consultations of the Secretary-General on outstanding 
issues relating to the deep seabed mining provisions 
of the United Nations Convention on the Law of the Sea 
Report of the Secretary-General 
CONTENTS 
Paragraphs Page 
REPORT OF THE SECRETARY-GENERAL 1-28 2 
Annexes 
I. Draft resolution and draft Agreement relating to the Implementation 
of Part XI of the United Nations Convention on the Law of the Sea 
of 10 December 1982 8 
II. Informal Understanding to be read by the President of the General 
Assembly at the time of the adoption of the resolution 32 
94-24482 (E) 150G94 15/06/94 
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REPORT OF THE SECRETARY-GENERAL 
1. In July 1990 the Secretary-General, Mr. Javier Perez de Cuellar, took the 
initiative to convene informal consultations aimed at achieving universal 
participation in the United Nations Convention on the Law of the Sea. The 
Secretary-General stressed the importance of securing general acceptance of the 
United Nations Convention on the Law of the Sea, an instrument which represented 
many years of negotiations and which had already made a significant contribution 
to the international legal maritime order. He pointed out that though he would 
continue to encourage all States which had not done so to ratify or accede to 
the Convention, it had to be acknowledged that there were problems with some 
aspects of the deep seabed mining provisions of the Convention which had 
prevented some States from ratifying or acceding to the Convention. 
2. He noted that in the eight years that had elapsed since the Convention was 
adopted certain significant political and economic changes had occurred which 
had had a marked effect on the regime for deep seabed mining contained in the 
Convention. Prospects for commercial mining of deep seabed minerals had receded 
into the next century, which was not what was envisaged during the negotiations 
at the Third United Nations Conference on the Law of the Sea. The general 
economic climate had been transformed as a result of the changing perception 
with respect to the roles of the public and private sectors. There was a 
discernible shift towards a more market-oriented economy. In addition, the 
Secretary-General made mention of the emergence of a new spirit of international 
cooperation in resolving outstanding problems of regional and global concern. 
These factors were to be taken into account in considering the problems with 
respect to deep seabed mining. 1/ 
3. Thus began a series of informal consultations under the aegis of the 
Secretary-General on outstanding issues relating to the deep seabed mining 
provisions of the United Nations Convention on the Law of the Sea. 
4. These informal consultations took place in the years 1990 to 1994, during 
which 15 meetings were convened. 2/ They can be conveniently divided into two 
phases. The first phase was devoted to the identification of issues of concern 
to some States, the approach to be taken in examining them and the search for 
solutions. During the second phase more precision was given to the results 
reached so far; additional points were raised for consideration and participants 
directed their attention to an examination of consolidated texts embodying these 
solutions and on the procedure whereby they might be adopted. 
The first phase 
5. During the initial part of this phase the consultations identified nine 
issues as representing areas of difficulty: costs to States parties; the 
Enterprise; decision-making; the Review Conference; transfer of technology; 
production limitation; compensation fund; financial terms of contract; and 
environmental considerations. After examining the various approaches that might 
be taken in the examination of these issues, there was general agreement on an 
approach which enabled participants to examine all the outstanding issues with a 
/. . . 
iiwwuiwfcswawwi^^ 
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view to resolving them and to decide how to deal with those that might remain 
unresolved. 
6. Participants then began to review all of these issues seriatim. This 
review was based on information notes compiled by the Secretariat containing 
background information, questions that needed to be addressed and possible 
approaches for the resolution of these issues. 
7. In the course of six informal consultations held during the years 1990 and 
1991, participants completed the consideration of all the outstanding issues 
relating to the deep seabed mining provisions of the United Nations Convention 
on the Law of the Sea. It can fairly be said that a certain measure of general 
agreement was emerging on these issues. 
8. The results of the Secretary-General's informal consultations held in 1990 
and 1991 were set out in the summary of informal consultations conducted by the 
Secretary-General on the law of the sea during 1990 and 1991, dated 
31 January 1992, and in an information note dated 26 May 1992. These results 
fell under two categories. First, general agreement seemed to have been reached 
on relatively detailed solutions on: costs to States parties, the Enterprise, 
decision-making, Review Conference and transfer of technology. Secondly, with 
respect to production limitation, the compensation fund and financial terms of 
contract it was generally agreed that it was neither necessary nor prudent to 
formulate a new set of detailed rules for these items. Accordingly, for those 
items the information note set out general principles to be applied when 
commercial production of deep seabed minerals was imminent. 
The second phase 
9. In 1992 I continued the informal consultations initiated by my predecessor. 
During this phase the consultations were open to all delegations. Some 75 to 90 
delegations attended these meetings. In the first three rounds of this phase, 
consideration was given to the nine issues in order to give more precision to 
the results reached so far in the consultations. Additional points were 
submitted for consideration on the following issues: costs to States parties; 
the Enterprise; decision-making; Review Conference; and transfer of technology. 
During these consultations it was decided to remove the issue of environmental 
considerations from the list of issues, since it was no longer considered to be 
a controversial issue in the context of deep seabed mining. 
10. At the informal consultations held on 28 and 29 January 1993, it was 
generally felt among participants that the stage had been reached when a text 
based on a more operational approach should be prepared in a form which could be 
the basis of an agreement. 
11. In accordance with this request, an information note dated 8 April 1993 was 
prepared. This information note contained two parts: 
(a) Part A dealt with various procedural approaches with respect to the 
use to be made of the results of the consultations. The four approaches could 
be summarized as follows: 
/.. 
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(i) A contractual instrument such as a protocol amending the Convention; 
(ii) An interpretative agreement consisting of understandings on the 
interpretation and application of the Convention; 
(iii) An interpretative agreement on the establishment of an initial 
Authority and an initial Enterprise during an interim regime 
accompanied by a procedural arrangement for the convening of a 
conference to establish the definitive regime for the commercial 
production of deep seabed minerals when such production became 
feasible; 
(iv) An agreement additional to the Convention providing for the transition 
between the initial phase and the definitive regime, in particular, 
the Authority would be mandated to develop solutions for issues still 
outstanding on the entry into force of the Convention; 
(b) Part B set out an operationally directed formulation of the results 
reached so far in the consultations. It was divided into two sections: 
(i) Arrangements following the entry into force of the Convention; 
(ii) Draft texts concerning the definitive deep seabed mining regime. 
12. The procedural approaches were reviewed during consultations held on 27 and 
28 April 1993. Certain basic elements emerged from the review of these 
approaches. It was generally agreed that, whatever approach might be adopted, 
it must be of a legally binding nature. It was also pointed out that a duality 
of regimes must be avoided. Finally, as the position of States which have 
ratified or acceded to the Convention must be respected, it was considered 
useful to examine the role that the notion of implied or tacit consent might 
play in protecting their positions. 
13. For the next round of consultations, held from 2 to 6 August 1993, an 
information note dated 4 June 1993 was circulated which updated parts A 
arid B (i) of the information note of 8 April 1993 to reflect the observations 
made during the previous round of consultations. During the course of this 
round of consultations a paper dated 3 August 1993 prepared by representatives 
of several developed and developing States was circulated among delegations as a 
contribution to the process of the consultations. It was understood that the 
paper, which was commonly known as the "boat paper", did not necessarily reflect 
the position of any of the delegations involved, but that it was considered to 
provide a useful basis for negotiation. 
14. Thereafter, while addressing the substantive issues contained in the 
information note dated 4 June 1993, delegations also made cross-references to 
the relevant portions of the "boat paper". That paper was divided into three 
parts: (i) a draft resolution for adoption by the General Assembly; (ii) a 
draft Agreement relating to the Implementation of Part XI of the United Nations 
Convention on the Law of the Sea; and (iii) two annexes. Annex I contained the 
agreed conclusions of the Secretary-General's consultations and annex II was 
entitled "Consequential adjustments". 
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15. At the last round of consultations held in 1993 (8-12 November), 
participants had before them three documents: the information note dated 
4 June 1993; a new version of the "boat paper" consolidating the two annexes to 
the original paper into one; and a paper entitled "Agreement on the 
Implementation of Part XI and Annexes III and IV of the United Nations 
Convention on the Law of the Sea", submitted by the delegation of Sierra Leone. 
At this November meeting participants completed the review of all the items 
contained in the information note dated 4 June 1993. After having completed 
consideration of those issues, delegations embarked upon a renewed examination 
of the issue of "Costs to States parties and institutional arrangements", but 
this time based essentially on the "boat paper". 
16. On 16 November 1993, the Convention on the Law of the Sea received its 
sixtieth instrument of ratification or accession, which means that, in 
accordance with its terms (article 308), it will enter into force on 
16 November 1994. The General Assembly itself invited all States to participate 
in the consultations and to increase efforts to achieve universal participation 
in the Convention as early as possible. 3/ The imminent entry into force of the 
Convention introduced a sense of urgency to the informal consultations. 
17. During the first round held in 1994 (31 January-4 February), the 
consultations examined a revised version of the "boat paper", dated 
November 1993. This revision took into account the discussions which had taken 
place during the Secretary-General's informal consultations held in 
November 1993. The work of the current round of consultations focused on some 
crucial issues: 
(a) Decision-making, in particular the question of the relationship 
between the Authority and the Council, and the question as to which group of 
States in the Council should be considered chambers for the purposes of 
decision-making in the Council; 
(b) Whether the administrative expenses of the Authority should be met by 
assessed contributions of its members, including the provisional members of the 
Authority, or through the budget of the United Nations; 
(c) The issue of provisional application of the Agreement and of 
provisional membership in the Authority. 
During this round of consultations progress was made on the latter two issues. 
A revised version of the document submitted by the delegation of Sierra Leone 
was submitted to this round of consultations. 
18. The second round of the Secretary-General's informal consultations in 1994 
was held from 4 to 8 April. The meeting had before it a further updated version 
of the "boat paper" entitled "Draft resolution and draft Agreement relating to 
the Implementation of Part XI of the 1982 United Nations Convention on the Law 
of the Sea", dated 14 February 1994. 
19. Participants undertook an article-by-article review of the draft Agreement 
Attention was then focused on the two most important issues facing the 
consultations: decision-making in the Council, and the Enterprise. These 
/. . . 
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issues, which lay at the heart of the consultations, proved most difficult to 
resolve. From the outset of the consultations it was evident that these issues 
could only be resolved in the final stages of this process, when a clearer 
picture of the results of the consultations had emerged. With respect to 
decision-making the debate was directed at the system of chambered voting, in 
particular whether the categories or groups of States, mainly developing States, 
should be treated as chambers for the purposes of decision-making in the 
Council. The discussion on the Enterprise centred on the type of mechanism 
which would trigger the commencement of its operations as well as its functions. 
20. Revisions were made to the draft Agreement in the light of the debates on 
the various issues. This in fact was a unique feature of this round of 
consultations, reflecting the urgency of the situation. The revisions related 
to provisional application of the Agreement; provisional membership in the 
Authority; the treatment of the registered pioneer investors; and production 
policy. 
21. Based on these revisions, the draft resolution and draft Agreement relating 
to the Implementation of Part XI of the United Nations Convention on the Law of 
the Sea were revised in their entirety and a revised text was issued on 
8 April 1994, the last day of the meeting. 
22. During this round of consultations, according to many delegations, 
significant progress was achieved. It appeared that solutions were found to 
several important issues, including decision-making, the Enterprise and the 
treatment of the registered pioneer investors. However, not all the issues were 
resolved in this round of consultations. 
23. The last meeting of the Secretary-General's consultations was held from 
31 May to 3 June 1994. The primary purpose of this final round of consultations 
was the harmonization of the text in the various language versions of the draft 
resolution and draft Agreement relating to the Implementation of Part XI of the 
1982 United Nations Convention on the Law of the Sea. The meeting had before it 
the draft resolution and draft Agreement dated 15 April 1994 which was revised 
on the basis of discussions in the previous round of consultations and a 
corrigendum to the document dated 23 May 1994. Two documents (SG/LOS/CRP.1 and 
SG/LOS/CRP.2), containing suggested amendments of a drafting nature prepared by 
the Secretariat, were also submitted to the meeting in order to facilitate the 
process of harmonizing the language versions of the text. 
24. The first part of the meeting addressed the substantive issues that were 
still pending, and solutions were found for some of those issues. Delegations, 
however, continued their search for solutions on matters relating, inter alia, 
to the treatment of the registered pioneer investors and the issue of 
representation in the Council. The second part of the meeting was devoted to 
the task of harmonizing the language versions of the draft resolution and draft 
Agreement. The final part dealt with the decisions to be taken with regard to 
the convening of a resumed forty-eighth session of the General Assembly to adopt 
the draft resolution and draft Agreement. 
25. At the close of the meeting, delegations were presented with a revised text 
(SG/LOS/CRP.1/Rev. 1), dated 3 June 1994. That document elicited a few drafting 
/. . . 
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comments which are reflected in the text of the draft resolution and draft 
Agreement relating to the Implementation of Part XI of the United Nations 
Convention on the Law of the Sea of 10 December 1982, contained in annex I to 
the present report. A proposed solution to the question of the issue of 
representation in the Council is to be found in the informal understanding 
contained in annex II. 
26. At the conclusion of the informal consultations the delegation of the 
Russian Federation made a statement reserving its position in view of the fact 
that a number of proposals it had made had not been reflected in the draft 
Agreement. In reply, it was pointed out that all proposals made by delegations 
or groups had been thoroughly examined without exception but that it had not 
been possible to accept every one of them. 
27. The consultations then indicated that Member States wished to convene a 
resumed forty-eighth session of the General Assembly of the United Nations from 
27 to 29 July 1994, for adoption of the resolution. They further wished that, 
after the adoption of the resolution, the Agreement would be immediately opened 
for signature. 
28. I wish to recall that the objective of the consultations was to achieve 
wider participation in the Convention from the major industrialized States in 
order to reach the goal of universality. Accordingly, it is with satisfaction 
that I report to the General Assembly that these consultations, initiated by my 
predecessor and continued by me, have led to a result which in my view could 
form the basis of a general agreement on the issues that were the subject of the 
consultations. In the light of the outcome, I consider that I have fulfilled my 
mandate. 
Notes 
1/ See A/45/721 and A/46/724. 
2/ Informal consultations were held on the following dates: 
19 July 1990; 30 October 1990; 25 March 1991; 23 July 1991; 14 and 
15 October 1991; 10 and 11 December 1991; 16 and 17 June 1992; 6 and 
7 August 1992; 28 and 29 January 1993; 27 and 28 April 1993; 2-6 August 1993 
8-12 November 1993; 31 January-4 February 1994; 4-8 April 1994; and 31 May-
3 June 1994. 
3/ General Assembly resolution 48/28. 
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ANNEX I 
Draft resolution and draft Agreement relating to the 
Implementation of Part XI of the United Nations 
Convention on the Law of the Sea of 10 December 1982 
I. INTRODUCTION 
This is a revised version of document SG/LOS/CRP.l/Rev.l of 3 June 1994. 
It incorporates the changes made during the last meeting of the final session of 
the informal consultations, held on 3 June 1994. In addition to a few purely 
editorial corrections, the changes are: 
(a) Page 8, article 10 
At the end of the article, add the following 
IN WITNESS WHEREOF, the undersigned Plenipotentiaries, being duly 
authorized thereto, have signed this Agreement. 
DONE AT NEW YORK, this ... day of July, one thousand nine hundred 
and ninety-four. 
(b) Page 20. section 6, paragraph 1 (d), line 2 
Delete those derived 
(c) Page 20. section 6, paragraph 1 (d) (ii), line 1 
Delete to markets 
(d) Page 22. section 8, paragraph 1 (e) , line 1 
Delete financial 
(e) Page 23. section 8. paragraph 3, last line 
Delete for each phase. 
A/48/950 
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II. DRAFT RESOLUTION FOR ADOPTION BY THE GENERAL ASSEMBLY 
The General Assembly, 
Prompted by the desire to achieve universal participation in the United 
Nations Convention on the Law of the Sea of 10 December 1982 (hereinafter 
referred to as "the Convention") 1/ and to promote appropriate representation 
in the institutions established by it, 
Reaffirming that the seabed and ocean floor and subsoil thereof, beyond the 
limits of national jurisdiction (hereinafter referred to as the "Area"), as well 
as the resources of the Area, are the common heritage of mankind, 2/ 
Recalling that the Convention in its Part XI and related provisions 
(hereinafter referred to as "Part XI") established a regime for the Area and its 
resources, 
Taking note of the consolidated provisional final report of the Preparatory 
Commission for the International Seabed Authority and for the International 
Tribunal for the Law of the Sea, 3_/ 
Recalling its resolution 48/28 of 9 December 1993 on the law of the sea, 
Recognizing that political and economic changes, including in particular a 
growing reliance on market principles, have necessitated the re-evaluation of 
some aspects of, the regime for the Area and its resources. 
Noting the initiative of the Secretary-General which began in 1990 to 
promote dialogue aimed at achieving universal participation in the Convention, 
Welcoming the report of the Secretary-General on the outcome of his 
informal consultations, including the draft of an agreement relating to the 
implementation of Part XI, 
Considering that the objective of universal participation in the Convention 
may best be achieved by the adoption of an agreement relating to the 
implementation of Part XI, 
Recognizing the need to provide for the provisional application of such an 
agreement from the date of entry into force of the Convention on 
16 November 1994, 
1/ Official Records of the Third United Nations Conference on the Law of 
the Sea, vol. XVII (United Nations publication, Sales No. E.84.V.3), document 
A/CONF.62/122. 
2/ General Assembly resolution 2749 (XXV); article 136 of the United 
Nations Convention on the Law of the Sea. 
3/ LOS/PCN/130 and Add.l. 
/• •• 
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I. Expresses its appreciation to the Secretary-General for his report on 
the informal consultations; 
2- Reaffirms the unified character of the United Nations Convention on 
the Law of the Sea of 10 December 1982; 
3. Adopts the Agreement relating to the Implementation of Part XI of the 
United Nations Convention on the Law of the Sea of 10 December 1982 (hereinafter 
referred to as "the Agreement"), the text of which is annexed to the present 
resolution; 
4. Affirms that the Agreement shall be interpreted and applied together 
with Part XI as a single instrument; 
5. Considers that future ratifications or formal confirmations of or 
accessions to the Convention shall represent also consent to be bound by the 
Agreement and that no State or entity may establish its consent to be bound by 
the Agreement unless it has previously established or establishes at the same 
time its consent to be bound by the Convention; 
6. Calls upon States which consent to the adoption of the Agreement to 
refrain from any act which would defeat its object and purpose ; 
7. Expresses its satisfaction at the entry into force of the Convention 
on 16 November 1994; 
8• Decides to fund the administrative expenses of the International 
Seabed Authority in accordance with section 1, paragraph 14, of the annex to the 
Agreement ; 
9. Requests the Secretary-General to transmit immediately certified 
copies of the Agreement to the States and entities referred to in article 3 
thereof, with a view to facilitating universal participation in the Convention 
and the Agreement, and to draw attention to articles 4 and 5 of the Agreement; 
10. Also requests the Secretary-General to open the Agreement for 
signature in accordance with article 3 thereof immediately after its adoption; 
II. Urges all States and entities referred to in article 3 of the 
Agreement to consent to its provisional application as from 16 November 1994 and 
to establish their consent to be bound by the Agreement at the earliest possible 
date ; 
12. Also urges all such States and entities that have not already done so 
to take all appropriate steps to ratify, formally confirm or accede to the 
Convention at the earliest possible date in order to ensure universal 
participation in the Convention; 
13. Calls upon the Preparatory Commission for the International Seabed 
Authority and for the International Tribunal for the Law of the Sea to take into 
account the terms of the Agreement when drawing up its final report. 
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III. DRAFT AGREEMENT RELATING TO THE IMPLEMENTATION OF 
PART XI OF THE UNITED NATIONS CONVENTION ON THE 
LAW OF THE SEA OF 10 DECEMBER 1982 
The States Parties to this Agreement. 
Recognizing the important contribution of the United Nations Convention on 
the Law of the Sea of 10 December 1982 (hereinafter referred to as "the 
Convention") to the maintenance of peace, justice and progress for all peoples 
of the world, 
Reaffirming that the seabed and ocean floor and subsoil thereof, beyond the 
limits of national jurisdiction (hereinafter referred to as "the Area"), as well 
as the resources of the Area, are the common heritage of mankind, 
Mindful of the importance of the Convention for the protection and 
preservation of the marine environment and of the growing concern for the global 
environment, 
Having considered the report of the Secretary-General of the United Nations 
on the results of the informal consultations among States held from 1990 to 1994 
on outstanding issues relating to Part XI and related provisions of the 
Convention (hereinafter referred to as "Part XI"), 
Noting the political and economic changes, including market-oriented 
approaches, affecting the implementation of Part XI, 
Wishing to facilitate universal participation in the Convention, 
Considering that an agreement relating to the implementation of Part XI 
would best meet that objective, 
Have agreed as follows: 
Article 1 
Implementation of Part XI 
1. The States Parties to this Agreement undertake to implement Part XI in 
accordance with this Agreement. 
2. The Annex forms an integral part of this Agreement. 
Article 2 
Relationship between this Agreement and Part XI 
1. The provisions of this Agreement and Part XI shall be interpreted and 
applied together as a single instrument. In the event of any inconsistency 
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between this Agreement and Part XI, the provisions of this Agreement shall 
prevail. 
2. Articles 309 to 319 of the Convention shall apply to this Agreement as they 
apply to the Convention. 
Article 3 
Signature 
This Agreement shall remain open for signature at United Nations 
Headquarters by the States and entities referred to in article 305, 
paragraph 1 (a), (c), (d), (e) and (f) , of the Convention for 12 months from the 
date of its adoption. 
Article 4 
Consent to be bound 
1. After the adoption of this Agreement, any instrument of ratification or 
formal confirmation of or accession to the Convention shall also represent 
consent to be bound by this Agreement. 
2. No State or entity may establish its consent to be bound by this Agreement 
unless it has previously established or establishes at the same time its consent 
to be bound by the Convention. 
3. A State or entity referred to in article 3 may express its consent to be 
bound by this Agreement by: 
(a) Signature not subject to ratification, formal confirmation or the 
procedure set out in article 5; 
(b) Signature subject to ratification or formal confirmation, followed by 
ratification or formal confirmation; 
(c) Signature subject to the procedure set out in article 5; or 
(d) Accession. 
4. Formal confirmation by the entities referred to in article 305, 
paragraph 1 (f), of the Convention shall be in accordance with Annex IX of the 
Convention. 
5. The instruments of ratification, formal confirmation or accession shall be 
deposited with the Secretary-General of the United Nations. 
/• 
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Article 5 
Simplified procedure 
1. A State or entity which has deposited before the date of the adoption of 
this Agreement an instrument of ratification or formal confirmation of or 
accession to the Convention and which has signed this Agreement in accordance 
with article 4, paragraph 3 (c) , shall be considered to have established its 
consent to be bound by this Agreement 12 months after the date of its adoption, 
unless that State or entity notifies the depositary in writing before that date 
that it is not availing itself of the simplified procedure set out in this 
article. 
2. In the event of such notification, consent to be bound by this Agreement 
shall be established in accordance with article 4, paragraph 3 (b) . 
Article 6 
Entry into force 
1. This Agreement shall enter into force 30 days after the date on which 
40 States have established their consent to be bound in accordance with 
articles 4 and 5, provided that such States include at least seven of the States 
referred to in paragraph 1 (a) of resolution II of the Third United Nations 
Conference on the Law of the Sea (hereinafter referred to as "resolution II") 
and that at least five of those States are developed States. If these 
conditions for entry into force are fulfilled before 16 November 1994, this 
Agreement i shall enter into force on 16 November 1994. 
2. For each State or entity establishing its consent to be bound by this 
Agreement after the requirements set out in paragraph 1 have been fulfilled, 
this Agreement shall enter into force on the thirtieth day following the date of 
establishment of its consent to be bound. 
Article 7 
Provisional application 
1. If on 16 November 1994 this Agreement has not entered into force, it shall 
be applied provisionally pending its entry into force by: 
(a) States which have consented to its adoption in the General Assembly of 
the United Nations, except any such State which before 16 November 1994 notifies 
the depositary in writing either that it will not so apply this Agreement or 
that it will consent to such application only upon subsequent signature or 
notification in writing; 
(b) States and entities which sign this Agreement, except any such State 
or entity which notifies the depositary in writing at the time of signature that 
it will not so apply this Agreement ,-
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(c) States and entities which consent to its provisional application by so 
notifying the depositary in writing; 
(d) States which accede to this Agreement. 
2. All such States and entities shall apply'this Agreement provisionally in 
accordance with their national or internal laws and regulations, with effect 
from 16 November 1994 or the date of signature, notification of consent or 
accession, if later. 
3. Provisional application shall terminate upon the date of entry into force 
of this Agreement. In any event, provisional application shall terminate on 
16 November 1998 if at that date the requirement in article 6, paragraph 1, of 
consent to be bound by this Agreement by at least seven of the States (of which 
at least five must be developed States) referred to in paragraph l (a) of 
resolution II has not been fulfilled. 
Article 8 
States Parties 
1. For the purposes of this Agreement, "States Parties" means States which 
have consented to be bound by this Agreement and for which this Agreement is in 
force. 
2. This Agreement applies mutatis mutandis to the entities referred to in 
article 305, paragraph 1 (c), (d), (e) and (f), of the Convention which become 
Parties to this Agreement in accordance with the conditions relevant to each, 
and to that extent "States Parties" refers to those entities. 
Article 9 
Depositary 
The Secretary-General of the United Nations shall be the depositary of this 
Agreement. 
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Article 10 
Authentic texts 
The original of this Agreement, of which the Arabic, Chinese, English, 
French, Russian and Spanish texts are equally authentic, shall be deposited with 
the Secretary-General of the United Nations. 
IN WITNESS WHEREOF, the undersigned Plenipotentiaries, being duly 
authorized thereto, have signed this Agreement. 
DONE AT NEW YORK, this ... day of July, one thousand nine hundred and 
ninety-four. 
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ANNEX 
SECTION 1. COSTS TO STATES PARTIES AND INSTITUTIONAL 
ARRANGEMENTS 
1. The International Seabed Authority (hereinafter referred to as "the 
Authority") is the organization through which States Parties to the Convention 
shall, in accordance with the regime for the Area established in Part XI and 
this Agreement, organize and control activities in the Area, particularly with a 
view to administering the resources of the Area. The powers and functions of 
the Authority shall be those expressly conferred upon it by the Convention. The 
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. 
2. In order to minimize costs to States Parties, all organs and subsidiary 
bodies to be established under the Convention and this Agreement shall be 
cost-effective. This principle shall also apply to the frequency, duration and 
scheduling of meetings. 
3. The setting up and the functioning of the organs and subsidiary bodies of 
the Authority shall be based on an evolutionary approach, taking into account 
the functional needs of the organs and subsidiary bodies concerned in order that 
they may discharge effectively their respective responsibilities at various 
stages of the development of activities in the Area. 
4. The early functions of the Authority upon entry into force of the 
Convention shall be carried out by the Assembly, the Council, the Secretariat, 
the Legal and Technical Commission and the Finance Committee. The functions of 
the Economic Planning Commission shall be performed by the Legal and Technical 
Commission until such time as the Council decides otherwise or until the 
approval of the first plan of work for exploitation. 
5. Between the entry into force of the Convention and the approval of the 
first plan of work for exploitation, the Authority shall concentrate on: 
(a) Processing of applications for approval of plans of work for 
exploration in accordance with Part XI and this Agreement; 
(b) Implementation of decisions of the Preparatory Commission for the 
International Seabed Authority and for the International Tribunal for the Law of 
the Sea (hereinafter referred to as "the Preparatory Commission") relating to 
the registered pioneer investors and their certifying States, including their 
rights and obligations, in accordance with article 308, paragraph 5, of the 
Convention and resolution II, paragraph 13; 
(c) Monitoring of compliance with plans of work for exploration approved 
in the form of contracts; 
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(d) Monitoring and review of trends and developments relating to deep 
seabed mining activities, including regular analysis of world metal market 
conditions and metal prices, trends and prospects; 
(e) Study of the potential impact of mineral production from the Area on 
the economies of developing land-based producers of those minerals which are 
likely to be most seriously affected, with a view to minimizing their 
difficulties and assisting them in their economic adjustment, taking into 
account the work done in this regard by the Preparatory Commission; 
(f) Adoption of rules, regulations and procedures necessary for the 
conduct of activities in the Area as they progress. Notwithstanding the 
provisions of Annex III, article 17, paragraph 2 (b) and (c) , of the Convention, 
such rules, regulations and procedures shall take into account the terms of this 
Agreement, the prolonged delay in commercial deep seabed mining and the likely 
pace of activities in the Area; 
(g) Adoption of rules, regulations and procedures incorporating applicable 
standards for the protection and preservation of the marine environment; 
(h) Promotion and encouragement of the conduct of marine scientific 
research with respect to activities in the Area and the collection and 
dissemination of the results of such research and analysis, when available, with 
particular emphasis on research related to the environmental impact of 
activities in the Area; 
(i) Acquisition of scientific knowledge and monitoring of the development 
of marine technology relevant to activities in the Area, in particular 
technology relating to the protection and preservation of the marine 
environment ; 
(j) Assessment of available data relating to prospecting and exploration; 
(k) Timely elaboration of rules, regulations and procedures for 
exploitation, including those relating to the protection and preservation of 
the marine environment. 
6. (a) An application for approval of a plan of work for exploration shall be 
considered by the Council following the receipt of a recommendation on the 
application from the Legal and Technical Commission. The processing of an 
application for approval of a plan of work for exploration shall be in 
accordance with the provisions of the Convention, including Annex III thereof, 
and this Agreement, and subject to the following: 
(i) A plan of work for exploration submitted on behalf of a State or 
entity, or any component of such entity, referred to in resolution II, 
paragraph 1 (a) (ii) or (iii), other than a registered pioneer 
investor, which had already undertaken substantial activities in the 
Area prior to the entry into force of the Convention, or its successor 
in interest, shall be considered to have met the financial and 
technical qualifications necessary for approval of a plan of work if 
the sponsoring State or States certify that the applicant has expended 
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an amount equivalent to at least US$ 30 million in research and 
exploration activities and has expended no less than 10 per cent of 
that amount in the location, survey and evaluation of the area 
referred to in the plan of work. If the plan of work otherwise 
satisfies the requirements of the Convention and any rules, 
regulations and procedures adopted pursuant thereto, it shall be 
approved by the Council in the form of a contract. The provisions of 
section 3, paragraph 11, of this Annex shall be interpreted and 
applied accordingly; 
(ii) Notwithstanding the provisions of resolution II, paragraph 8 (a), a 
registered pioneer investor may request approval of a plan of work for 
exploration within 36 months of the entry into force of the 
Convention. The plan of work for exploration shall consist of 
documents, reports and other data submitted to the Preparatory 
Commission both before and after registration and shall be accompanied 
by a certificate of compliance, consisting of a factual report 
describing the status of fulfilment of obligations under the pioneer 
investor regime, issued by the Preparatory Commission in accordance 
with resolution II, paragraph 11 (a) . Such a plan of work shall be 
considered to be approved. Such an approved plan of work shall be in 
the form of a contract concluded between the Authority and the 
registered pioneer investor in accordance with Part XI and this 
Agreement. The fee of US$ 250,000 paid pursuant to resolution II, 
paragraph 7 (a) , shall be deemed to be the fee relating to the 
exploration phase pursuant to section 8, paragraph 3, of this-Annex. 
Section 3, paragraph 11, of this Annex shall be interpreted and 
applied accordingly; 
(iii) In accordance with the principle of non-discrimination, a contract 
with a State or entity or any component of such entity referred to in 
subparagraph (a) (i) shall include arrangements which shall be similar 
to and no less favourable than those agreed with any registered 
pioneer investor referred to in subparagraph (a) (ii) . If any of the 
States or entities or any components of such entities referred to in 
subparagraph (a) (i) are granted more favourable arrangements, the 
Council shall make similar and no less favourable arrangements with 
regard to the rights and obligations assumed by the registered pioneer 
investors referred to in subparagraph (a) (ii), provided that such 
arrangements do not affect or prejudice the interests of the 
Authority; 
(iv) A State sponsoring an application for a plan of work pursuant to the 
provisions of subparagraph (a) (i) or (ii) may be a State Party or a 
State which is applying this Agreement provisionally in accordance 
with article 7, or a State which is a member of the Authority on a 
provisional basis in accordance with paragraph 12; 
(v) Resolution II, paragraph 8 (c) , shall be interpreted and applied in 
accordance with subparagraph (a) (iv). 
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(b) The approval of a plan of work for exploration shall be in accordance 
with article 153, paragraph 3, of the Convention. 
7. An application for approval of a plan of work shall be accompanied by an 
assessment of the potential environmental impacts of the proposed activities and 
by a description of a programme for océanographie and baseline environmental 
studies in accordance with the rules, regulations and procedures adopted by the 
Authority. 
8. An application for approval of a plan of work for exploration, subject to 
paragraph 6 (a) (i) or (ii) , shall be processed in accordance with the 
procedures set out in section 3, paragraph 11, of this Annex. 
9. A plan of work for exploration shall be approved for a period of 15 years. 
Upon the expiration of a plan of work for exploration, the contractor shall 
apply for a plan of work for exploitation unless the contractor has already 
done so or has obtained an extension for the plan of work for exploration. 
Contractors may apply for such extensions for periods of not more than 
five years each. Such extensions shall be approved if the contractor has made 
efforts in good faith to comply with the requirements of the plan of work but 
for reasons beyond the contractor's control has been unable to complete the 
necessary preparatory work for proceeding to the exploitation stage or if the 
prevailing economic circumstances do not justify proceeding to the exploitation 
stage. 
10. Designation,of a reserved area for the Authority in accordance with 
Annex III, article 8, of the Convention shall take place in connection with 
approval of an application for a plan of work for exploration or approval of an 
application for a plan of work for exploration and exploitation. 
11. Notwithstanding the provisions of paragraph 9, an approved plan of work for 
exploration which is sponsored by at least one State provisionally applying this 
Agreement shall terminate if such a State ceases to apply this Agreement 
provisionally and has not become a member on a provisional basis in accordance 
with paragraph 12 or has not become a State Party. 
12. Upon the entry into force of this Agreement, States and entities referred 
to in article 3 of this Agreement which have been applying it provisionally in 
accordance with article 7 and for which it is not in force may continue to be 
members of the Authority on a provisional basis pending its entry into force for 
such States and entities, in accordance with the following subparagraphs: 
(a) If this Agreement enters into force before 16 November 1996, such 
States and entities shall be entitled to continue to participate as members of 
the Authority on a provisional basis upon notification to the depositary of the 
Agreement by such a State or entity of its intention to participate as a member 
on a provisional basis. Such membership shall terminate either on 
16 November 1996 or upon the entry into force of this Agreement and the 
Convention for such member, whichever is earlier. The Council may, upon the 
request of the State or entity concerned, extend such membership beyond 
16 November 1996 for a further period or periods not exceeding a total of 
two years provided that the Council is satisfied that the State or entity 
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concerned has been making efforts in good faith to become a party to the 
Agreement and the Convention; 
(b) If this Agreement enters into force after 15 November 1996, such 
States and entities may request the Council to grant continued membership in the 
Authority on a provisional basis for a period or periods not extending beyond 
16 November 1998. The Council shall grant such membership with effect from the 
date of the request if it is satisfied that the State or entity has been making 
efforts in good faith to become a party to the Agreement and the Convention; 
(c) States and entities which are members of the Authority on a 
provisional basis in accordance with subparagraph (a) or (b) shall apply the 
terms of Part XI and this Agreement in accordance with their national or 
internal laws, regulations and annual budgetary appropriations and shall have 
the same rights and obligations as other members, including: 
(i) The obligation to contribute to the administrative budget of the 
Authority in accordance with the scale of assessed contributions; 
(ii) The right to sponsor an application for approval of a plan of work for 
exploration. In the case of entities whose components are natural or 
juridical persons possessing the nationality of more than one State, a 
plan of work for exploration shall not be approved unless all the 
States whose natural or juridical persons comprise those entities are 
States Parties or members on a provisional basis; 
(d) Notwithstanding the provisions of paragraph 9, an approved plan of 
work in the form of a contract for exploration which was sponsored pursuant to 
subparagraph (c) (ii) by a State which was a member on a provisional basis shall 
terminate if such membership ceases and the State or entity has not become a 
State Party; 
(e) If such a member has failed to make its assessed contributions or 
otherwise failed to comply with its obligations in accordance with this 
paragraph, its membership on a provisional basis shall be terminated. 
13. The reference in Annex III, article 10, of the Convention to performance 
which has not been satisfactory shall be interpreted to mean that the contractor 
has failed to comply with the requirements of an approved plan of work in spite 
of a written warning or warnings from the Authority to the contractor to comply 
therewith. 
14. The Authority shall have its own budget. Until the end of the year 
following the year during which this Agreement enters into force, the 
administrative expenses of the Authority shall be met through the budget of the 
United Nations. Thereafter, the administrative expenses of the Authority shall 
be met by assessed contributions of its members, including any members on a 
provisional basis, in accordance with articles 171, subparagraph (a), and 173 of 
the Convention and this Agreement, until the Authority has sufficient funds from 
other sources to meet those expenses. The Authority shall not exercise the 
power referred to in article 174, paragraph 1, of the Convention to borrow funds 
to finance its administrative budget. 
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15. The Authority shall elaborate and adopt, in accordance with article 162, 
paragraph 2 (o) (ii), of the Convention, rules, regulations and procedures based 
on the principles contained in sections 2, 5, 6, 7 and 8 of this Annex, as well 
as any additional rules, regulations and procedures necessary to facilitate the 
approval of plans of work for exploration or exploitation, in accordance with 
the following subparagraphs: 
(a) The Council may undertake such elaboration any time it deems that all 
or any of such rules, regulations or procedures are required for the conduct of 
activities in the Area, or when it determines that commercial exploitation is 
imminent, or at the request of a State whose national intends to apply for 
approval of a plan of work for exploitation; 
(b) If a request is made by a State referred to in subparagraph (a) the 
Council shall, in accordance with article 162, paragraph 2 (o), of the 
Convention, complete the adoption of such rules, regulations and procedures 
within two years of the request; 
(c) If the Council has not completed the elaboration of the rules, 
regulations and procedures relating to exploitation within the prescribed time 
and an application for approval of a plan of work for exploitation is pending, 
it shall none the less consider and provisionally approve such plan of work 
based on the provisions of the Convention and any rules, regulations and 
procedures that the Council may have adopted provisionally, or on the basis of 
the norms contained in the Convention and the terms and principles contained in 
this Annex as well as the principle of non-discrimination among contractors. 
16. The draft rules, regulations and procedures and any recommendations 
relating to the provisions of Part XI, as contained in the reports and 
recommendations of the Preparatory Commission, shall be taken into account by 
the Authority in the adoption of rules, regulations and procedures in accordance 
with Part XI and this Agreement. 
17. The relevant provisions of Part XI, section 4, of the Convention shall be 
interpreted and applied in accordance with this Agreement. 
SECTION 2. THE ENTERPRISE 
1. The Secretariat of the Authority shall perform the functions of the 
Enterprise until it begins to operate independently of the Secretariat. The 
Secretary-General of the Authority shall appoint from within the staff of the 
Authority an interim Director-General to oversee the performance of these 
functions by the Secretariat. 
These functions shall be: 
(a) Monitoring and review of trends and developments relating to deep 
seabed mining activities, including regular analysis of world metal market 
conditions and metal prices, trends and prospects; 
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(b) Assessment of the results of the conduct of marine scientific research 
with respect to activities in the Area, with particular emphasis on research 
related to the environmental impact of activities in the Area; 
(c) Assessment of available data relating to prospecting and exploration, 
including the criteria for such activities; 
(d) Assessment of technological developments relevant to activities in the 
Area, in particular technology relating to the protection and preservation of 
the marine environment; 
(e) Evaluation of information and data relating to areas reserved for the 
Authority; 
(f) Assessment of approaches to joint-venture operations; 
(g) Collection of information on the availability of trained manpower; 
(h) Study of managerial policy options for the administration of the 
Enterprise at different stages of its operations. 
2. The Enterprise shall conduct its initial deep seabed mining operations 
through joint ventures. Upon the approval of a plan of work for exploitation 
for an entity other than the Enterprise, or upon receipt by the Council of an 
application for a joint-venture operation with the Enterprise, the Council shall 
take up the issue of the functioning of the Enterprise independently of the 
Secretariat of\the Authority. If joint-venture operations with the Enterprise 
accord with sound commercial principles, the Council shall issue a directive 
pursuant to article 170, paragraph 2, of the Convention providing for such 
independent functioning. 
3. The obligation of States Parties to fund one mine site of the Enterprise as 
provided for in Annex IV, article 11, paragraph 3, of the Convention shall not 
apply and States Parties shall be under no obligation to finance any of the 
operations in any mine site of the Enterprise or under its joint-venture 
arrangements. 
4. The obligations applicable to contractors shall apply to the Enterprise. 
Notwithstanding the provisions of article 153, paragraph 3, and Annex III, 
article 3, paragraph 5, of the Convention, a plan of work for the Enterprise 
upon its approval shall be in the form of a contract concluded between the 
Authority and the Enterprise. 
5. A contractor which has contributed a particular area to the Authority as a 
reserved area has the right of first refusal to enter into a joint-venture 
arrangement with the Enterprise for exploration and exploitation of that area. 
If the Enterprise does not submit an application for a plan of work for 
activities in respect of such a reserved area within 15 years of the 
commencement of its functions independent of the Secretariat of the Authority or 
within 15 years of the date on which that area is reserved for the Authority, 
whichever is the later, the contractor which contributed the area shall be 
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entitled to apply for a plan of work for that area provided it offers in good 
faith to include the Enterprise as a joint-venture partner. 
6. Article 170, paragraph 4, Annex IV and other provisions of the Convention 
relating to the Enterprise shall be interpreted and applied in accordance with 
this section. 
SECTION 3. DECISION-MAKING 
1. The general policies of the Authority shall be established by the Assembly 
in collaboration with the Council. 
2. As a general rule, decision-making in the organs of the Authority should be 
by consensus. 
3. If all efforts to reach a decision by consensus have been exhausted, 
decisions by voting in the Assembly on questions of procedure shall be taken by 
a majority of members present and voting, and decisions on questions of 
substance shall be taken by a two-thirds majority of members present and voting, 
as provided for in article 159, paragraph 8, of the Convention. 
4. Decisions of the Assembly on any matter for which the Council also has 
competence or on any administrative, budgetary or financial matter shall be 
based on the recommendations of the Council. If the Assembly does not accept 
the recommendation of the Council on any matter, it shall return the matter to 
the Council for further consideration. The Council shall reconsider the matter 
in the light of the views expressed by the Assembly. 
5. If all efforts to reach a decision by consensus have been exhausted, 
decisions by voting in the Council on questions of procedure shall be taken by a 
majority of members present and voting, and decisions on questions of substance, 
except where the Convention provides for decisions by consensus in the Council, 
shall be taken by a two-thirds majority of 'members present and voting, provided 
that such decisions are not opposed by a majority in any one of the chambers 
referred to in paragraph 9. In taking decisions the Council shall seek to 
promote the interests of all the members of the Authority. 
6. The Council may defer the taking of a decision in order to facilitate 
further negotiation whenever it appears that all efforts at achieving consensus 
on a question have not been exhausted. 
7. Decisions by the Assembly or the Council having financial or budgetary 
implications shall be based on the recommendations of the Finance Committee. 
8. The provisions of article 161, paragraph 8 (b) and (c), of the Convention 
shall not apply. 
9. (a) Each group of States elected under paragraph 15 (a) to (c) shall be 
treated as a chamber for the purposes of voting in the Council. The developing 
States elected under paragraph 15 (d) and (e) shall be treated as a single 
chamber for the purposes of voting in the Council. 
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(b) Before electing the members of the Council, the Assembly shall 
establish lists of countries fulfilling the criteria for membership in the 
groups of States in paragraph 15 (a) to (d). If a State fulfils the criteria 
for membership in more than one group, it may only be proposed by one group for 
election to the Council and it shall represent only that group in voting in the 
Council. 
10. Each group of States in paragraph 15 (a) to (d) shall be represented in the 
Council by those members nominated by that group. Each group shall nominate 
only as many candidates as the number of seats required to be filled by that 
group. When the number of potential candidates in each of the groups referred 
to in paragraph 15 (a) to (e) exceeds the number of seats available in each of 
those respective groups, as a general rule, the principle of rotation shall 
apply. States members of each of those groups shall determine how this 
principle shall apply in those groups. 
11. (a) The Council shall approve a recommendation by the Legal and Technical 
Commission for approval of a plan of work unless by a two-thirds majority of its 
members present and voting, including a majority of members present and voting 
in each of the chambers of the Council, the Council decides to disapprove a plan 
of work. If the Council does not take a decision on a recommendation for 
approval of a plan of work within a prescribed period, the recommendation shall 
be deemed to have been approved by the Council at the end of that period. The 
prescribed period shall normally be 60 days unless the Council decides to 
provide for a longer period. If the Commission recommends the disapproval of a 
plan of work «or does not make a recommendation, the Council may nevertheless 
approve the plan of work in accordance with its rules of procedure for 
decision-making on questions of substance. 
(b) The provisions of article 162, paragraph 2 (j), of the Convention 
shall not apply. 
12. Where a dispute arises relating to the disapproval of a plan of work, such 
dispute shall be submitted to the dispute settlement procedures set out in the 
Convention. 
13. Decisions by voting in the Legal and Technical Commission shall be by a 
majority of members present and voting. 
14. Part XI, section 4, subsections B and C, of the Convention shall be 
interpreted and applied in accordance with this section. 
15. The Council shall consist of 36 members of the Authority elected by the 
Assembly in the following order: 
(a) Four members from among those States Parties which, during the last 
five years for which statistics are available, have either consumed more than 
2 per cent in value terms of total world consumption or have had net imports of 
more than 2 per cent in value terms of total world imports of the commodities 
produced from the categories of minerals to be derived from the Area, provided 
that the four members shall include one State from the Eastern European region 
having the largest economy in that region in terms of gross domestic product and 
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the State, on the date of entry into force of the Convention, having the largest 
economy in terms of gross domestic product, if such States wish to be 
represented in this group; 
(b) Four members from among the eight States Parties which have made the 
largest investments in preparation for and in the conduct of activities in the 
Area, either directly or through their nationals; 
(c) Four members from among States Parties which, on the basis of 
production in areas under their jurisdiction, are major net exporters of the 
categories of minerals to be derived from the Area, including at least two 
developing States whose exports of such minerals have a substantial bearing upon 
their economies; 
(d) Six members from among developing States Parties, representing special 
interests. The special interests to be represented shall include those of 
States with large populations, States which are land-locked or geographically 
disadvantaged, island States, States which are major importers of the categories 
of minerals to be derived from the Area, States which are potential producers of 
such minerals and least developed States; 
(e) Eighteen members elected according to the principle of ensuring an 
equitable geographical distribution of seats in the Council as a whole, provided 
that each geographical region shall have at least one member elected under this 
subparagraph. For this purpose, the geographical regions shall be Africa, Asia, 
Eastern Europe, Latin America and the Caribbean and Western Europe and Others. 
16. The provisions of article 161, paragraph 1, of the Convention shall not 
apply. 
SECTION 4. REVIEW CONFERENCE 
The provisions relating to the Review Conference in article 155, 
paragraphs 1, 3 and 4, of the Convention shall not apply. Notwithstanding the 
provisions of article 314, paragraph 2, of the Convention, the Assembly, on the 
recommendation of the Council, may undertake at any time a review of the matters 
referred to in article 155, paragraph l, of the Convention. Amendments relating 
to this Agreement and Part XI shall be subject to the procedures contained in 
articles 314, 315 and 316 of the Convention, provided that the principles, 
regime and other terms referred to in article 155, paragraph 2, of the 
Convention shall be maintained and the rights referred to in paragraph 5 of that 
article shall not be affected. 
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SECTION 5. TRANSFER OF TECHNOLOGY 
1. In addition to the provisions of article 144 of the Convention, transfer of 
technology for the purposes of Part XI shall be governed by the following 
principles : 
(a) The Enterprise, and developing States wishing to obtain deep seabed 
mining technology, shall seek to obtain such technology on fair and reasonable 
commercial terms and conditions on the open market, or through joint-venture 
arrangements; 
(b) If the Enterprise or developing States are unable to obtain deep 
seabed mining technology, the Authority may request all or any of the 
contractors and their respective sponsoring State or States to cooperate with it 
in facilitating the acquisition of deep seabed mining technology by the 
Enterprise or its joint venture, or by a developing State or States seeking to 
acquire such technology on fair and reasonable commercial terms and conditions, 
consistent with the effective protection of intellectual property rights. 
States Parties undertake to cooperate fully and effectively with the Authority 
for this purpose and to ensure that contractors sponsored by them also cooperate 
fully with the Authority; 
(c) As a general rule, States Parties shall promote international 
technical and scientific cooperation with regard to activities in "the Area 
either between the parties concerned or by developing training, technical 
assistance and scientific cooperation programmes in marine science and 
technology and the protection and preservation of the marine environment. 
2. The provisions of Annex III, article 5, of the Convention shall not apply. 
SECTION 6. PRODUCTION POLICY 
1. The production policy of the Authority shall be based on the following 
principles: 
(a) Development of the resources of the Area shall take place in 
accordance with sound commercial principles ; 
(b) The provisions of the General Agreement on Tariffs and Trade, its 
relevant codes and successor or superseding agreements shall apply with respect 
to activities in the Area; 
(c) In particular, there shall be no subsidization of activities in the 
Area except as may be permitted under the agreements referred to in 
subparagraph (b) . Subsidization for the purpose of these principles shall be 
defined in terms of the agreements referred to in subparagraph (b) ; 
(d) There shall be no discrimination between minerals derived from the 
Area and from other sources. There shall be no preferential access to markets 
for such minerals or for imports of commodities produced from such minerals, in 
particular : 
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f 
(i) By the use of tariff or non-tariff barriers; and 
(ii) Given by States Parties to such minerals or commodities produced by 
their state enterprises or by natural or juridical persons which possess their 
nationality or are controlled by them or their nationals; 
(e) The plan of work for exploitation approved by the Authority in respect 
of each mining area shall indicate an anticipated production schedule which 
shall include the estimated maximum amounts of minerals that would be produced 
per year under the plan of work; 
(f) The following shall apply to the settlement of disputes concerning the 
provisions of the agreements referred to in subparagraph (b): 
(i) Where the States Parties concerned are parties to such agreements, 
they shall have recourse to the dispute settlement procedures of those 
agreements ; 
(ii) where one or more of the States Parties concerned are not parties to 
such agreements, they shall have recourse to the dispute settlement 
procedures set out in the Convention; 
(g) In circumstances where a determination is made under the agreements 
referred to in subparagraph (b) that a State Party has engaged in subsidization 
which is prohibited or has resulted in adverse effects on the interests of 
another State Party and appropriate steps have not been taken by the relevant 
State Party or States Parties, a State Party may request the Council to take 
appropriate measures. 
2. The principles contained in paragraph 1 shall not affect the rights and 
obligations under any provision of the agreements referred to in 
paragraph 1 (b), as well as the relevant free trade and customs union 
agreements, in relations between States Parties which are parties to such 
agreements. 
3. The acceptance by a contractor of subsidies other than those which may be 
permitted under the agreements referred to in paragraph 1 (b) shall constitute a 
violation of the fundamental terms of the contract forming a plan of work for 
the carrying out of activities in the Area. 
4. Any State Party which has reason to believe that there has been a breach of 
the requirements of paragraphs 1 (b) to (d) or 3 may initiate dispute settlement 
procedures in conformity with paragraph 1 (f) or (g). 
5. A State Party may at any time bring to the attention of the Council 
activities which in its view are inconsistent with the requirements of 
paragraph 1 (b) to (d). 
6. The Authority shall develop rules, regulations and procedures which ensure 
the implementation of the provisions of this section, including relevant rules, 
regulations and procedures governing the approval of plans of work. 
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7. The provisions of article 151, paragraphs 1 to 7 and 9, article 162, 
paragraph 2 (q) , article 165, paragraph 2 (n) , and Annex III, article 6, 
paragraph 5, and article 7, of the Convention shall not apply. 
SECTION 7. ECONOMIC ASSISTANCE 
1. The policy of the Authority of assisting developing countries which suffer 
serious adverse effects on their export earnings or economies resulting from a 
reduction in the price of an affected mineral or in the volume of exports of 
that mineral, to the extent that such reduction is caused by activities in the 
Area, shall be based on the following principles: 
(a) The Authority shall establish an economic assistance fund from a 
portion of the funds of the Authority which exceeds those necessary to cover the 
administrative expenses of the Authority. The amount set aside for this purpose 
shall be determined by the Council from time to time, upon the recommendation of 
the Finance Committee. Only funds from payments received from contractors, 
including the Enterprise, and voluntary contributions shall be used for the 
establishment of the economic assistance fund; 
(b) Developing land-based producer States whose economies have been 
determined to be seriously affected by the production of minerals from the deep 
seabed shall be assisted from the economic assistance fund of the Authority; 
(c) The Authority shall provide assistance from the fund to affected 
developing land-based producer States, where appropriate, in cooperation with 
existing global or regional development institutions which have the 
infrastructure and expertise to carry out such assistance programmes; 
(d) The extent and period of such assistance shall be determined on a 
case-by-case basis. In doing so, due consideration shall be given to the nature 
and magnitude of the problems encountered by affected developing land-based 
producer States. 
2. Article 151, paragraph 10, of the Convention shall be implemented by means 
of measures of economic assistance referred to in paragraph 1. Article 160, 
paragraph 2 (1), article 162, paragraph 2 (n), article 164, paragraph 2 (d), 
article 171, subparagraph (f) , and article 173, paragraph 2 (c) , of the 
Convention shall be interpreted accordingly. 
SECTION 8. FINANCIAL TERMS OF CONTRACTS 
1. The following principles shall provide the basis for establishing rules, 
regulations and procedures for financial terms of contracts: 
(a) The system of payments to the Authority shall be fair both to the 
contractor and to the Authority and shall provide adequate means of determining 
compliance by the contractor with such system; 
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(b) The rates of payments under the system shall be within the range of 
those prevailing in respect of land-based mining of the same or similar minerals 
in order to avoid giving deep seabed miners an artificial competitive advantage 
or imposing on them a competitive disadvantage; 
(c) The system should not be complicated and should not impose major 
administrative costs on the Authority or on a contractor. Consideration should 
be given to the adoption of a royalty system or a combination of a royalty and 
profit-sharing system. If alternative systems are decided upon, the contractor 
has the right to choose the system applicable to its contract. Any subsequent 
change in choice between alternative systems, however, shall be made by 
agreement between the Authority and the contractor; 
(d) An annual fixed fee shall be payable from the date of commencement of 
commercial production. This fee may be credited against other payments due 
under the system adopted in accordance with subparagraph (c) . The amount of the 
fee shall be established by the Council; 
(e) The system of payments may be revised periodically in the light of 
changing circumstances. Any changes shall be applied in a non-discriminatory 
manner. Such changes may apply to existing contracts only at the election of 
the contractor. Any subsequent change in choice between alternative systems 
shall be made by agreement between the Authority and the contractor; 
(f) Disputes concerning the interpretation or application of the rules and 
regulations based on these principles shall be subject to the dispute settlement 
procedures set out in the Convention. 
2. The provisions of Annex III, article 13, paragraphs 3 to 10, of the 
Convention shall not apply. 
3. With regard to the implementation of Annex III, article 13, paragraph 2, of 
the Convention, the fee for processing applications for approval of a plan of 
work limited to one phase, either the exploration phase or the exploitation 
phase, shall be US$ 250,000. 
SECTION 9. THE FINANCE COMMITTEE 
1. There is hereby established a Finance Committee. The Committee shall be 
composed of 15 members with appropriate qualifications relevant to financial 
matters. States Parties shall nominate candidates of the highest standards of 
competence and integrity. 
2. No two members of the Finance Committee shall be nationals of the same 
State Party. 
3. Members of the Finance Committee shall be elected by the Assembly and due 
account shall be taken of the need for equitable geographical distribution and 
the representation of special interests. Each group of States referred to in 
section 3, paragraph 15 (a), (b), (c) and (d), of this Annex shall be 
represented on the Committee by at least one member. Until the Authority has 
/• 
So 
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sufficient funds other than assessed contributions to meet its administrative 
expenses, the membership of the Committee shall include representatives of the 
five largest financial contributors to the administrative budget of the 
Authority. Thereafter, the election of one member from each group shall be on 
the basis of nomination by the members of the respective group, without 
prejudice to the possibility of further members being elected from each group. 
4. Members of the Finance Committee shall hold office for a term of five 
years. They shall be eligible for re-election for a further term. 
5. In the event of the death, incapacity or resignation of a member of the 
Finance Committee prior to the expiration of the term of office, the Assembly 
shall elect for the remainder of the term a member from the same geographical 
region or group of States. 
6. Members of the Finance Committee shall have no financial interest in any 
activity relating to matters upon which the Committee has the responsibility to 
make recommendations. They shall not disclose, even after the termination of 
their functions, any confidential information coming to their knowledge by 
reason of their duties for the Authority. 
7. Decisions by the Assembly and the Council on the following issues shall 
take into account recommendations of the Finance Committee : 
(a) Draft financial rules, regulations and procedures of the organs of the 
Authority and the financial management and internal financial administration of 
the Authority; 
(b) Assessment of contributions of members to the administrative budget of 
the Authority in accordance with article 160, paragraph 2 (e), of the 
Convention; 
(c) All relevant financial matters, including the proposed annual budget 
prepared by the Secretary-General of the Authority in accordance with 
article 172 of the Convention and the financial aspects of the implementation of 
the programmes of work of the Secretariat; 
(d) The administrative budget ; 
(e) Financial obligations of States Parties arising from the 
implementation of this Agreement and Part XI as well as the administrative and 
budgetary implications of proposals and recommendations involving expenditure 
from the funds of the Authority; 
(f) Rules, regulations and procedures on the equitable sharing of 
financial and other economic benefits derived from activities in the Area and 
the decisions to be made thereon. 
8. Decisions in the Finance Committee on questions of procedure shall be taken 
by a majority of members present and voting. Decisions on questions of 
substance shall be taken by consensus. 
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9. The requirement of article 162, paragraph 2 (y), of the Convention to 
establish a subsidiary organ to deal with financial matters shall be deemed to 
have been fulfilled by the establishment of the Finance Committee in accordance 
with this section. 
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ANNEX II 
Informal Understanding to be read by the President of 
the General Assembly at the time of the adoption of 
the resolution 
Once there is a widespread participation in the International Seabed 
Authority and the number of members of each regional group participating in the 
Authority is substantially similar to its membership in the United Nations, it 
is understood that each regional group would be represented in the Council of 
the Authority as a whole by at least three members. 
ISSN 0254-1459 
KOM(94) 305 endelig udg. 
DOKUMENTER 
DA u 
Katalognummer : CB-CO-94-322-DA-C 
ISBN 92-77-71558-8 
Kontoret for De Europæiske Fællesskabers Officielle Publikationer 
L-2985 Luxembourg